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FK

Frank S. Kim

OCEAN PARK SECURITIES
EDINA, MN 55439
Some features on this profile are disabled
CRD#: 4703726
FK

Professional summary

Frank S Kim is a registered financial professional currently at OCEAN PARK SECURITIES, LLC located in Edina, Minnesota.

Frank is registered as a RR (Registered Representative) and started their career in finance in 2005. Frank has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 62 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Frank S 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®
None

Experience

Current

July 11, 2016 - Present

OCEAN PARK SECURITIES, LLC

Office #1: 7300 Metro Boulevard Suite 305, Edina, MN 55439
BD
CRD#: 282608
EDINA, MN
Past

July 29, 2014 - October 3, 2016

STONNINGTON GROUP, LLC

BD
CRD#: 131221
LOS ANGELES, CA
Past

October 20, 2005 - March 31, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

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
California
(7/12/2016)
RR
Minnesota
(11/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2014
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 79
Date: 8/4/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 7/29/2014
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OP
OCEAN PARK SECURITIES, LLC
OCEAN PARK SECURITIES, LLC

CRD#: 282608 / SEC#: , 8-69722

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7300 Metro Boulevard Suite 305, Edina, MN 55439
Mailing Address
7300 Metro Boulevard Suite 305, Edina, MN 55439
Phone number
(310) 670-2093
Established
Delaware since 12/14/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
COMER, W BRUCE IIIMEMBER, MANAGING DIRECTOR, CCO2633820
FISLER, MARK EDWARDMEMBER, MANAGING DIRECTOR1411345
COLLINS, ELIZABETH SARAHFINOP4714831

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

OCEAN PARK SECURITIES, LLC

CRD#: 282608Edina, MN 55439

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