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JK

James Kim

VESTGEN ADVISORS
Oak Brook, IL 60523
Some features on this profile are disabled
CRD#: 4649932
JK

Professional summary

James Kim, who also goes by Hong J Kim, Hong James Kim, Hong Kim, James Hong-joong Kim, Hong-joong Kim, is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Oak Brook, Illinois and PRIVATE CLIENT SERVICES, LLC located in Oak Brook, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Hong J Kim | Hong James Kim | Hong Kim | James Hong-Joong Kim | Hong-Joong 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 James 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

August 25, 2025 - Present

VESTGEN ADVISORS, LLC

Office #1: 800 Enterprise Drive Suite 128, Oak Brook, IL 60523
RIA
CRD#: 318657
Oak Brook, IL
Current

October 1, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 800 Enterprise Dr, Ste 128, Oak Brook, IL 60523
RIA
BD
CRD#: 120222
Oak Brook, IL
Past

August 23, 2024 - October 3, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
Oak Brook, IL
Past

March 8, 2023 - August 23, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
Oak Brook, IL
Past

February 24, 2023 - October 8, 2025

ONEDIGITAL

RIA
CRD#: 106766
Oak Brook, IL
Past

August 2, 2018 - February 15, 2023

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
Chicago, IL
Past

August 1, 2018 - February 15, 2023

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CHICAGO, IL
Past

February 9, 2018 - July 26, 2018

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
CHICAGO, IL
Past

December 3, 2008 - July 26, 2018

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CHICAGO, IL
Past

September 8, 2008 - December 10, 2008

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
ROSEMONT, IL
Past

January 1, 2008 - June 23, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CHICAGO, IL
Past

May 8, 2003 - November 29, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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".
VA
VESTGEN ADVISORS, LLC
ENNEA WEALTH SOLUTIONS | WEALTH MANAGMENT GROUP | WEALTH MANAGEMENT GROUP, L.L.C. | VESTGEN WEALTH PARTNERS | VESTGEN ST. CHARLES | VESTGEN SCHAUMBURG | VESTGEN OAK BROOK | VESTGEN NAPLES | VESTGEN NAPERVILLE | VESTGEN KIRKWOOD | VESTGEN KEY WEST | VESTGEN KANSAS CITY | VESTGEN INVERNESS & DOWNERS GROVE | VESTGEN GLEN ELLYN | VESTGEN EGG HARBOR | VESTGEN DOWNERS GROVE | VESTGEN CHICAGO | VESTGEN ADVISORS, LLC | VESTGEN ADVISORS | VESTGEN | VESTBRIDGE ADVISORS | OPTIMUM INVESTMENT ADVISORS | LANDMARK CAPITAL | FOUNTAIN WEALTH

CRD#: 318657 / SEC#: 801-123390

RIA
Registered Investment Advisory firm - (3/4/2022 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
Florida
(10/1/2025)
IAR
Illinois
(8/25/2025)
RR
Illinois
(10/14/2025)
RR
Indiana
(10/1/2025)
IAR
Texas
(8/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/22/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/27/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VA
VESTGEN ADVISORS, LLC
ENNEA WEALTH SOLUTIONS | WEALTH MANAGMENT GROUP | WEALTH MANAGEMENT GROUP, L.L.C. | VESTGEN WEALTH PARTNERS | VESTGEN ST. CHARLES | VESTGEN SCHAUMBURG | VESTGEN OAK BROOK | VESTGEN NAPLES | VESTGEN NAPERVILLE | VESTGEN KIRKWOOD | VESTGEN KEY WEST | VESTGEN KANSAS CITY | VESTGEN INVERNESS & DOWNERS GROVE | VESTGEN GLEN ELLYN | VESTGEN EGG HARBOR | VESTGEN DOWNERS GROVE | VESTGEN CHICAGO | VESTGEN ADVISORS, LLC | VESTGEN ADVISORS | VESTGEN | VESTBRIDGE ADVISORS | OPTIMUM INVESTMENT ADVISORS | LANDMARK CAPITAL | FOUNTAIN WEALTH

CRD#: 318657 / SEC#: 801-123390

RIA
Registered Investment Advisory firm - (3/4/2022 Approved)
PREMIUM
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Contact information

Main Address
1 North Franklin Suite 1850, Chicago, IL 60606
Mailing Address
Phone number
(312) 237-4446
Established
Firm type
Fiscal year end
# of Employees
115

SEC notice filing (35 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

VESTGEN ADVISORS - WRAP FEE BROCHURE (3/31/2025)
VGA - ADV FORM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts9,800
AUM (Assets Under Management)$ 3,470,310,102

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

VESTGEN ADVISORS, LLC

CRD#: 318657Oak Brook, IL 60523

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