Mike Kim

INDEPENDENT INVESTMENT BANKERS,

San Diego, CA

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CRD#: 4999905

Professional summary

Mike Kim is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Mike is registered as a RR (Registered Representative) and started their career in finance in 2005. Mike has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86 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) - BD

Click below to view Mike 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

October 17, 2023 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA

CRD#: 154134

San Diego, CA

Past

January 19, 2017 - September 5, 2023

BA SECURITIES, LLC

CRD#: 153489

SAN DIEGO, CA

Past

July 15, 2015 - January 19, 2017

BA SECURITIES, LLC

CRD#: 153489

SAN DIEGO, CA

Past

January 7, 2010 - June 27, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

SAN FRANCISCO, CA

Past

August 18, 2005 - April 14, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

SAN FRANCISCO, 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

California
(10/17/2023)

Exams

State Security Law Exam

Series 63

Date: 8/19/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/8/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 3/30/2010

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 3/18/2010

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 8/17/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

Red Flags

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Mike Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

BA SECURITIES, LLC

BA SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2005

SIE

Date: 10/1/2018

Series 79

Date: 10/8/2015

Series 87

Date: 3/30/2010

Series 86

Date: 3/18/2010

Series 7

Date: 8/17/2005

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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