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Anna Kim

SEI INVESTMENTS MANAGEMENT CORP

ASHBURN, VA

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CRD#: 5732789

Professional summary

Anna Kim is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Ashburn, Virginia and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Anna has worked at 16 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Kim's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 25, 2022 - Present

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

ASHBURN, VA

Current

January 24, 2022 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456

BD

CRD#: 10690

Oaks, PA

Past

September 21, 2021 - January 14, 2022

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD

CRD#: 15883

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

STERLING CAPITAL DISTRIBUTORS, LLC

BD

CRD#: 103934

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

QUASAR DISTRIBUTORS, LLC

BD

CRD#: 103848

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

NORTHERN FUNDS DISTRIBUTORS, LLC

BD

CRD#: 45943

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

MGI FUNDS DISTRIBUTORS, LLC

BD

CRD#: 35682

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

IMST DISTRIBUTORS, LLC

BD

CRD#: 130745

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

FUNDS DISTRIBUTOR, LLC

BD

CRD#: 7174

PORTLAND, ME

Past

June 21, 2021 - January 14, 2022

FORESIDE FUNDS DISTRIBUTORS LLC

BD

CRD#: 31334

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

FORESIDE FUND SERVICES, LLC

BD

CRD#: 46106

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

FORESIDE FINANCIAL SERVICES, LLC

BD

CRD#: 148477

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

FORESIDE DISTRIBUTION SERVICES, L.P.

BD

CRD#: 15634

Ashburn, VA

Past

June 21, 2021 - January 14, 2022

COMPASS DISTRIBUTORS, LLC

BD

CRD#: 172662

Ashburn, VA

Past

April 1, 2021 - May 28, 2021

GROVE POINT ADVISORS, LLC

RIA

CRD#: 313171

ROCKVILLE, MD

Past

September 25, 2018 - April 1, 2021

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

Rockville, MD

Past

April 8, 2010 - May 28, 2021

GROVE POINT INVESTMENTS, LLC

BD

CRD#: 1763

Rockville, MD

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".

SI

SEI INVESTMENTS MANAGEMENT CORP

GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 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

Pennsylvania
(1/24/2022)

IAR

Pennsylvania
(1/25/2022)

RR

Virginia
(1/24/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 9/24/2018

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 4/6/2010

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 7/3/2010

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

SI

SEI INVESTMENTS MANAGEMENT CORP

GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

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Contact information

Main Address

One Freedom Valley Drive, Oaks, PA 19456

Mailing Address

Phone number

(610) 676-1000

Established

Firm type

Fiscal year end

# of Employees

447

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (8/15/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (3/31/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts	99,603
AUM (Assets Under Management)	$ 198,143,431,156

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Company Information

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146Ashburn, VA

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