Jae Kim

FORESIDE FUND SERVICES

Broomfield, CO 80021

CRD#: 4780563

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Professional summary

Jae Kim, who also goes by Jae S Kim, Jae Seung Kim, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado.

Jae is registered as a RR (Registered Representative) and started their career in finance in 2004. Jae has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jae S Kim | Jae Seung 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) - BD

Click below to view Jae 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

June 10, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1200 Entrepreneurial Drive, Broomfield, CO 80021

CRD#: 46106

Broomfield, CO

Past

November 15, 2019 - June 4, 2026

T. ROWE PRICE ASSOCIATES, INC.

RIA

CRD#: 105496

Long Beach, CA

Past

November 15, 2019 - June 4, 2026

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

May 16, 2011 - September 24, 2019

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

Long Beach, CA

Past

May 16, 2011 - September 24, 2019

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

June 30, 2010 - May 9, 2011

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

ORANGE, CA

Past

June 29, 2010 - May 9, 2011

STANCORP EQUITIES, INC.

CRD#: 19517

ORANGE, CA

Past

May 10, 2005 - June 7, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

GLENDALE, CA

Past

June 11, 2004 - June 7, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

GLENDALE, CA

State Registrations and Notice Filings

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

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

Alabama
(6/10/2026)

Alaska
(6/10/2026)

Arizona
(6/10/2026)

Arkansas
(6/10/2026)

California
(6/10/2026)

Colorado
(6/10/2026)

Connecticut
(6/10/2026)

Delaware
(6/10/2026)

District of Columbia
(6/10/2026)

Florida
(6/10/2026)

Georgia
(6/10/2026)

Hawaii
(6/10/2026)

Idaho
(6/10/2026)

Illinois
(6/10/2026)

Indiana
(6/10/2026)

Iowa
(6/10/2026)

Kansas
(6/10/2026)

Kentucky
(6/10/2026)

Louisiana
(6/10/2026)

Maine
(6/10/2026)

Maryland
(6/10/2026)

Massachusetts
(6/10/2026)

Michigan
(6/10/2026)

Minnesota
(6/10/2026)

Mississippi
(6/10/2026)

Missouri
(6/10/2026)

Montana
(6/10/2026)

Nebraska
(6/10/2026)

Nevada
(6/10/2026)

New Hampshire
(6/10/2026)

New Jersey
(6/10/2026)

New Mexico
(6/10/2026)

New York
(6/10/2026)

North Carolina
(6/10/2026)

North Dakota
(6/10/2026)

Ohio
(6/10/2026)

Oklahoma
(6/10/2026)

Oregon
(6/10/2026)

Pennsylvania
(6/10/2026)

Rhode Island
(6/10/2026)

South Carolina
(6/10/2026)

South Dakota
(6/10/2026)

Tennessee
(6/10/2026)

Texas
(6/10/2026)

Utah
(6/10/2026)

Vermont
(6/10/2026)

Virginia
(6/10/2026)

Washington
(6/10/2026)

West Virginia
(6/10/2026)

Wisconsin
(6/10/2026)

Wyoming
(6/10/2026)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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

Jae Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jae Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ROWE PRICE ASSOCIATES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2005

Series 63

Date: 10/1/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/10/2004

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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