Grace C. Kim

CETERA INVESTMENT ADVISERS LLC

AMBLER, PA

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CRD#: 4206921

Professional summary

Grace Chong Kim, who also goes by Chong Yon Kim, Grace Chong Kwon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ambler, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Blue Bell, Pennsylvania.

Grace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Grace has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chong Yon Kim | Grace Chong Kwon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Global Premiere Group, LLC~'NIR'~1651 Swede Rd~Blue Bell~PA~19422~Insurance Agent~Partner/General Partner~2/1/2010~10hrs~150hrs~Conducting P & C Only 2)Kim & Kim, LLC~'NIR'~1651 Swede Rd~Blue Bell~PA~19422~Insurance Agent~Partner/General Partner~6/1/2014~30hrs~150hrs~Health Insurance ONLY. 3)Kim Grace~'NIR'~1057 Kinghorn Circle~Ambler~PA~19002~Other~Owner/Sole Proprietor~6/1/2015~140hrs~110hrs~Operational and/or Marketing Name for Avantax Services| 4)U-San, LLC~'NIR'~1651 Swede Rd~Blue Bell~PA~19422~Insurance Agent~Partner/General Partner~1/1/2011~10hrs~150hrs~Conducting Life Insurance Only

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grace Chong Kim's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

AMBLER, PA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1651 Swede Rd Suite 2, Blue Bell, PA 19422

CRD#: 13572

Blue Bell, PA

Past

June 26, 2015 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

AMBLER, PA

Past

June 26, 2015 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Blue Bell, PA

Past

February 21, 2012 - July 1, 2015

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

BLUE BELL, PA

Past

April 5, 2011 - July 1, 2015

FSC SECURITIES CORPORATION

CRD#: 7461

BLUE BELL, PA

Past

September 13, 2010 - January 12, 2011

NEW ENGLAND SECURITIES

CRD#: 615

NEWTOWN SQUARE, PA

Past

April 17, 2001 - July 7, 2010

PRUCO SECURITIES, LLC.

CRD#: 5685

BLUE BELL, PA

Past

October 24, 2000 - April 2, 2001

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(9/5/2025)

New Jersey
(9/5/2025)

Pennsylvania
(9/5/2025)

IAR

Pennsylvania
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Grace C. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grace Chong Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2002

Series 63

Date: 11/6/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/30/2003

Series 6

Date: 10/23/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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