Chi-hee Kim

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CRD#: 4650458

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Chi-hee Kim was a registered financial professional .

Chi-hee is a previously registered financial professional and started their career in finance in 2003. Chi-hee had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2011 - November 26, 2012

HARTFORD FUNDS

RIA

CRD#: 130373

SAN FRANCISCO, CA

Past

May 29, 2007 - September 18, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

May 29, 2007 - September 18, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

May 12, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

PALO ALTO, CA

Past

May 12, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

PALO ALTO, CA

Past

November 14, 2003 - January 5, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN JOSE, CA

Past

November 14, 2003 - January 5, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 22, 2003 - October 28, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SAN FRANCISCO, CA

Past

May 14, 2003 - October 28, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

HARTFORD FUNDS

HARTFORD FUNDS | LATTICE STRATEGIES LLC | LATTICE GROWTH PARTNERS LLC

CRD#: 130373 / SEC#: 801-63451

RIA

Registered Investment Advisory firm - (8/18/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/21/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/2003

General Securities Representative Examination

Current Firm

HARTFORD FUNDS

HARTFORD FUNDS | LATTICE STRATEGIES LLC | LATTICE GROWTH PARTNERS LLC

CRD#: 130373 / SEC#: 801-63451

RIA

Registered Investment Advisory firm - (8/18/2004 Approved)

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Contact information

Main Address

690 Lee Road, Wayne, PA 19087

Mailing Address

Phone number

(610) 386-1801

Established

Firm type

Fiscal year end

# of Employees

387

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

LATTICE STRATEGIES, FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 1,813,675,171

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

Chi-hee Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/21/2003

Series 7

Date: 5/12/2003

Current Firm

HARTFORD FUNDS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARTFORD FUNDS

TRUST BUT VERIFY

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