RK
Ray W. Kim
WESTPARK CAPITAL
Irvine, CA 92614
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CRD#: 4446196
RK
Professional summary
Ray Wook Kim, who also goes by Ray Kim, is a registered financial advisor currently at WESTPARK CAPITAL, INC. located in Irvine, California.
Ray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ray has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray 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.
DILIGENT INSURANCE GROUP - VP/INS AGENT; LOCATED IN NEWPORT BEACH, CA. STARTED 02/2007. ~70% OF WORKING HOURS DURING BOTH TRADING AND NON-TRADING HOURS. ADVISORY COMMITTEE FOR UCI PERSONAL FINANCIAL PLANNING CERTIFICATE PROGRAM POSITION: Advisory Committee Member NATURE: Advise the administrator on course selection and direction of program. This program is registered with Certified Financial Planner Board of Standards, Inc. CFP Board is a certifying organization whose mission is to benefit the public by fostering professional standards in personal financial planning. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2019 ADDRESS: 510 E Peltason Dr., Irvine CA 92697, United States DESCRIPTION: Annual committee meeting and quarterly conference call participation.
CRS (Client Relationship Summary) - RIA
Click below to view Ray Wook Kim's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ray Wook 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®
NoneExperience
Current
May 29, 2018 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Current
May 25, 2018 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Past
May 19, 2010 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
IRVINE, CA
Past
May 19, 2010 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
IRVINE, CA
Past
May 21, 2007 - May 20, 2010
PRIVATE ASSET ADVISORS, INC.
RIA
CRD#: 142322
NEWPORT BEACH, CA
Past
May 18, 2007 - April 27, 2010
PRIVATE ASSET GROUP, INC.
BD
CRD#: 142541
NEWPORT BEACH, CA
Past
May 4, 2007 - May 10, 2007
BURCH & COMPANY, INC
BD
CRD#: 102280
KANSAS CITY, MO
Past
November 17, 2006 - June 1, 2007
SCF SECURITIES, INC.
BD
CRD#: 47275
SAN DIEGO, CA
Past
November 15, 2006 - June 1, 2007
SCF INVESTMENT ADVISORS, INC.
RIA
CRD#: 123608
SAN DIEGO, CA
Past
May 2, 2002 - June 24, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
IRVINE, CA
Past
April 23, 2002 - June 24, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 23, 2002 - June 24, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
September 12, 2001 - March 27, 2002
C.K. COOPER & COMPANY, INC.
BD
CRD#: 106578
IRVINE, CA
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".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
IAR
California(5/29/2018)
RR
California(6/9/2020)
RR
Oklahoma(3/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Century Park East 22nd Floor, New York, NY 10017
Mailing Address
1800 Century Park East Suite 220, Los Angeles, CA 90067
Phone number
(310) 843-9300
Established
Michigan since 09/05/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
