John S. Kim
Professional summary
John S Kim, who also goes by John Sung Kim, John Kim, John S Kim, is a registered financial professional currently at MOELIS & COMPANY LLC located in Los Angeles, California.
John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John S Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2025 - Present
MOELIS & COMPANY LLC
Office #1: 10100 Santa Monica Blvd Suite 1600, Los Angeles, CA 90067February 27, 2023 - July 7, 2025
ROBERT W. BAIRD & CO. INCORPORATED
November 6, 2013 - October 21, 2015
FINANCIAL TELESIS INC
December 24, 2011 - April 16, 2013
MONTGOMERY & CO., 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
(6/24/2025)
Exams
Series 7TO
Date: 7/1/2025
General Securities Representative ExaminationSeries 79TO
Date: 2/25/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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