David D. Kim

M3 ASSET MANAGEMENT

Pasadena, CA 91101

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CRD#: 4351580

Professional summary

David Daejoon Kim, who also goes by Daejoon Kim, is a registered financial advisor currently at M3 ASSET MANAGEMENT, INC. located in Pasadena, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daejoon Kim

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.

Daejoon "David" Kim is a licensed insurance agent (License # 0D29772). The business address is 333 S. Grand Ave., 8th Floor Suite 845, Los Angeles, CA 90017.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Daejoon Kim's 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

January 3, 2014 - Present

M3 ASSET MANAGEMENT, INC.

Office #1: 595 E. Colorado Boulevard Suite 504, Pasadena, CA 91101

RIA

CRD#: 8174

WEEHAWKEN, NJ

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.

Highlighted states indicate IAR registrations

IAR

California
(1/3/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/6/2001

General Securities Representative Examination

Current Firm

M3 ASSET MANAGEMENT, INC.

CRD#: 169461 / SEC#: 801-78863

RIA

Registered Investment Advisory firm - (10/27/2015 Terminated)

California

Registered Investment Advisory firm - (10/20/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

595 E. Colorado Boulevard Suite 504, Pasadena, CA 91101

Mailing Address

Phone number

(213) 675-1843

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 20,000,000

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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Advisor Monitoring

Firm Stability Insights

David D. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Daejoon Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2001

Series 63

Date: 5/11/2001

Series 7

Date: 4/6/2001

Current Firm

M3 ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

M3 ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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