William W. Kim
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.
William Woosung Kim, who also goes by Woo Kim, Woosung Kim, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2008. William had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2016 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
March 18, 2015 - March 9, 2018
SCOTTRADE, INC.
February 21, 2011 - October 1, 2014
E*TRADE SECURITIES LLC
February 18, 2011 - October 1, 2014
HARRISDIRECT LLC
August 14, 2009 - January 11, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2009 - January 11, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - August 18, 2009
MORGAN STANLEY
June 1, 2009 - August 18, 2009
MORGAN STANLEY
July 21, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 21, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 24, 2008 - June 27, 2008
PHILLIPS & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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