Stephen H. Kim

SIERRA MADRE PARTNERS LLC

Cerritos, CA 90703

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CRD#: 4724325

Professional summary

Stephen Hyo Dong Kim, who also goes by Stephen Hyodong Kim, is a registered financial advisor currently at SIERRA MADRE PARTNERS LLC located in Cerritos, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Stephen has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Hyodong 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.

Stephen Hyodong Kim also serves as an advisor to 86Research Ltd. Clients of Sierra Madre Partners are not offered the services of 86Research Ltd. 86Research is a boutique research firm that provides equity research and services to institutional investors. 86Research is based in Shanghai, China, located at: (968 Jin Zhong Road, Sky Soho, Building 5, Room 707, Changning District, Shanghai, China 200335). Stephen Kim worked for 86Research from June 2012 until December 2015, and started as an advisor to firm starting January 2016. In his role, Stephen Kim provides general business strategy advice to 86Research. Time devoted to this role is less than 5 hours a month and is not during regular trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Hyo Dong 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

June 20, 2014 - Present

SIERRA MADRE PARTNERS LLC

Office #1: 17777 Center Court Drive North, Suite 600, Cerritos, CA 90703

RIA

CRD#: 171754

Cerritos, CA

Past

May 10, 2007 - June 15, 2012

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

PASADENA, CA

Past

April 19, 2006 - April 24, 2007

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

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

California
(6/20/2014)

IAR

Louisiana
(10/20/2020)

IAR

Texas
(10/10/2018)

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 65

Date: 6/20/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/18/2006

General Securities Representative Examination

Current Firm

SIERRA MADRE PARTNERS LLC

CRD#: 171754 / SEC#:

California

Registered Investment Advisory firm - (6/20/2014 Approved)

Louisiana

Registered Investment Advisory firm - (10/20/2020 Approved)

Texas

Registered Investment Advisory firm - (1/8/2025 Approved)

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Contact information

Main Address

17777 Center Court Drive North, Suite 600, Cerritos, CA 90703

Mailing Address

Phone number

(562) 888-0077

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 16,407,877

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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Stephen H. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Hyo Dong Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIERRA MADRE PARTNERS LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

ROTH CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/2014

Series 63

Date: 5/9/2006

Series 7

Date: 4/18/2006

Current Firm

SIERRA MADRE PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SIERRA MADRE PARTNERS LLC

TRUST BUT VERIFY

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