Michael 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.
Michael Sugweon Kim, who also goes by Michael Kim, Sugweon Kim, Kim Sugweon, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE 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
Experience
November 6, 2020 - March 15, 2024
BLUE ANCHOR ADVISORY SERVICES
February 11, 2020 - October 21, 2020
AMERITAS INVESTMENT COMPANY, LLC
January 13, 2020 - October 21, 2020
AMERITAS INVESTMENT COMPANY, LLC
January 3, 2017 - August 30, 2018
HORTER INVESTMENT MANAGEMENT, LLC
October 10, 2012 - July 29, 2014
AMERITAS INVESTMENT COMPANY, LLC
April 1, 2011 - April 10, 2012
AMERITAS INVESTMENT COMPANY, LLC
July 3, 2009 - February 8, 2011
SIGNATOR INVESTORS, INC.
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
Series 6TO
Date: 1/13/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BLUE ANCHOR ADVISORY SERVICES
CRD#: 311294 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 1,838,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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