Won D. Kim
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Won Doo Kim, who also goes by Won D Kim, was a registered financial professional .
Won is a previously registered financial professional and started their career in finance in 2000. Won had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - June 10, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 16, 2012 - June 10, 2015
TD AMERITRADE, INC.
February 15, 2012 - June 10, 2015
TD AMERITRADE, INC.
May 25, 2010 - April 12, 2011
VISION BROKERAGE SERVICES, LLC
November 25, 2008 - April 1, 2009
HSBC SECURITIES (USA) INC.
November 25, 2008 - April 1, 2009
HSBC SECURITIES (USA) INC.
October 1, 2007 - November 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 16, 2005 - May 18, 2007
CHASE INVESTMENT SERVICES CORP.
March 16, 2005 - May 18, 2007
CHASE INVESTMENT SERVICES CORP.
November 30, 2004 - May 9, 2005
IFMG SECURITIES, INC.
November 19, 2004 - May 9, 2005
IFMG SECURITIES, INC.
January 11, 2003 - April 28, 2004
IDS LIFE INSURANCE COMPANY
January 11, 2003 - April 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2000 - November 19, 2002
METROPOLITAN LIFE INSURANCE COMPANY
December 4, 2000 - November 19, 2002
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
