Eric S. 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.
Eric Seong Su Kim, CFP®, who also goes by Seong Su Kim, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2007. Eric had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
July 29, 2016 - September 28, 2016
AVANTAX ADVISORY SERVICES
July 29, 2016 - September 28, 2016
AVANTAX INVESTMENT SERVICES, INC.
August 14, 2015 - July 18, 2016
OSAIC SERVICES, INC.
August 14, 2015 - July 18, 2016
OSAIC SERVICES, INC.
February 29, 2012 - September 6, 2013
MML INVESTORS SERVICES, LLC
February 2, 2012 - September 6, 2013
MML INVESTORS SERVICES, LLC
April 23, 2007 - November 2, 2011
NYLIFE SECURITIES LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
