Keun Soo Kim

KLIMAX WEALTH MANAGEMENT

METUCHEN, NJ

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CRD#: 4465610

Professional summary

Keun Soo Kim MR., who also goes by Keun Soo Kim, Keun Soo Kim, is a registered financial advisor currently at KLIMAX WEALTH MANAGEMENT, LLC located in Metuchen, New Jersey.

Keun Soo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Keun Soo has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keun Soo Kim | Keun Soo 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 Keun Soo Kim MR.'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

February 2, 2005 - Present

KLIMAX WEALTH MANAGEMENT, LLC

RIA

CRD#: 133710

METUCHEN, NJ

Past

December 20, 2002 - September 17, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PRINCETON, NJ

Past

December 20, 2002 - September 17, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 10, 2002 - December 10, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAWRENCEVILLE, NJ

Past

December 5, 2001 - December 10, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

New Jersey
(2/2/2005)

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 66

Date: 12/12/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/4/2001

General Securities Representative Examination

Current Firm

KLIMAX WEALTH MANAGEMENT, LLC

KLIMAX ASSET MANAGEMENT, LLC | KLIMAX WEALTH MANAGEMENT, LLC

CRD#: 133710 / SEC#:

New Jersey

Registered Investment Advisory firm - (2/2/2005 Approved)

New York

Registered Investment Advisory firm - (12/1/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/8/2017 Terminated)

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

Fort Lee, NJ

Mailing Address

Phone number

(609) 273-5880

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 24,392,732

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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Keun Soo Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keun Soo Kim MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

KLIMAX WEALTH MANAGEMENT, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2001

Series 7

Date: 12/4/2001

Current Firm

KLIMAX WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KLIMAX WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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