WK
Woong Kim
NWF ADVISORY SERVICES | Financial Advisor
Los Angeles, CA 90064
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CRD#: 5706203
WK
Professional summary
Woong Kim, who also goes by Woong Kim, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Los Angeles, California and OSAIC WEALTH, INC. located in Los Angeles, California.
Woong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Woong has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Woong Kim
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.
1. NWF ADVISORY SERVICES POSITION: Investment Advisory Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 01/01/2020 ADDRESS: 11835 W. Olympic Blvd., 1155 East Tower, Los Angeles CA 90064, United States DESCRIPTION: To provide an advice-based approach to financial solutions for the clients and prospects Actively solicits new and existing investments and insurance solutions from mass affluent customer segment. Based on individualized needs analysis, prepares recommendations for customized financial solutions to current and potential customers. Profiles customers and deliver recommendations to ensure clients needs are met. Uses sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding of solutions. Delivers a diversified set of brokerage, investment and insurance and advice-based solutions with a financial planning mindset to meet the individualized investment needs of current and potential customers. Provides financial planning services by advising the customer on the advantages and disadvantages of different product decisions in alignment with their individual needs. Regularly reviews customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering), and KYC (Know Your Customer) requirements to protect bank interests. 2. WOONG KIM INSURANCE AGENT POSITION: Insurance agent NATURE: Sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2020 ADDRESS: 11835 W. Olympic Blvd., 1155 East Tower, Los Angeles CA 90064, United States DESCRIPTION: To provide insurance solutions for the clients and prospects Actively solicits new and existing investments and insurance solutions from mass affluent customer segment. Based on individualized needs analysis, prepares recommendations for customized financial solutions to current and potential customers. Profiles customers and deliver recommendations to ensure clients needs are met. Uses sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding of solutions. Delivers a diversified set of insurance and advice-based solutions with a financial planning mindset to meet the individualized investment needs of current and potential customers. Regularly reviews customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering), and KYC (Know Your Customer) requirements 3. ARTISAN CAPITAL PARTNERS DBA POSITION: Financial Professional NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 50 START DATE: 05/13/2025 ADDRESS: 11835 W. Olympic Blvd, 1155 East Tower, Los Angeles CA 90064, United States DESCRIPTION: I am a financial professional marketing myself under the DBA Artisan Capital Partners.
CRS (Client Relationship Summary) - RIA
Click below to view Woong 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®
NoneExperience
Current
December 19, 2019 - Present
NWF ADVISORY SERVICES INC
Office #1: 11835 W. Olympic Blvd. #1155 E., Los Angeles, CA 90064RIA
CRD#: 110410
Los Angeles, CA
Current
December 16, 2019 - Present
OSAIC WEALTH, INC.
Office #1: 11835 W. Olympic Blvd. Suite 1155 E, Los Angeles, CA 90064RIA
BD
CRD#: 23131
Los Angeles, CA
Past
December 16, 2019 - December 17, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
March 11, 2013 - December 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
March 11, 2013 - December 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOS ANGELES, CA
Past
October 23, 2009 - February 15, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LOS ANGELES, CA
Past
September 25, 2009 - February 15, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(12/16/2019)
IAR
California(12/19/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NWF ADVISORY SERVICES INC
Financial AdvisorCRD#: 110410Los Angeles, CA 90064TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
