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LK

Luis Y. Kim

TRUIST ADVISORY SERVICES
BUFORD, GA
Some features on this profile are disabled
CRD#: 4366228
LK

Professional summary

Luis Young Kim, who also goes by Luis Yong Kim, Luis Young Jin Kim, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Buford, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Luis has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Luis Yong Kim | Luis Young Jin 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Young 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

June 24, 2025 - Present

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
BUFORD, GA
Current

June 23, 2025 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 1 3, 4 & 6, Richmond, VA, 23224
BD
CRD#: 17499
RICHMOND, VA
Past

August 3, 2016 - December 10, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
BUFORD, GA
Past

August 2, 2016 - December 10, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Buford, GA
Past

February 27, 2013 - July 5, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

February 27, 2013 - July 5, 2016

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

December 21, 2011 - July 5, 2016

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
ATLANTA, GA
Past

June 15, 2011 - July 5, 2016

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

February 28, 2002 - June 14, 2011

E*TRADE SECURITIES LLC

BD
CRD#: 29106
ALPHARETTA, GA

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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 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.
RR
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

RR
Georgia
(6/24/2025)
IAR
Georgia
(6/24/2025)
RR
North Carolina
(6/24/2025)
RR
Virginia
(6/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/22/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/14/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/15/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/11/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 Approved)
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Contact information

Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (12/1/2025)
TAS AMC WRAP MANAGED PROGRAMS BROCHURE (12/1/2025)

Regulatory assets under management

Total Number of Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/24/2025
Cover Page
Report
03/28/2024
Cover Page
Report
04/26/2023
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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390Buford, GA

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