Min J. Kim
Professional summary
Min Jae Kim is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California and NATIONAL FINANCIAL SERVICES LLC located in San Francisco, California.
Min is registered as a RR (Registered Representative) and started their career in finance in 2008. Min has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Min Jae Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111July 17, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111April 25, 2022 - October 18, 2024
J.P. MORGAN SECURITIES LLC
April 25, 2022 - October 18, 2024
J.P. MORGAN SECURITIES LLC
March 4, 2013 - April 4, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 18, 2011 - April 4, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2008 - January 14, 2011
RUSSELL INVESTMENTS FINANCIAL SERVICES, 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
(12/4/2024)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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