Harry H. Kim

POSITIVE DELTA ASSET MANAGEMENT LLC

Los Angeles, CA 90071

Some features on this profile are disabled

CRD#: 5879027

Professional summary

Harry Hyun Woong Kim is a registered financial advisor currently at POSITIVE DELTA ASSET MANAGEMENT LLC located in Los Angeles, California.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Harry has worked at 1 firm and has passed the Series 65 exam.

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.

Harry is an attorney at law firm, Lee Anav Chung White and Kim. The address is 520 S. Grand Ave Ste. 1070, Los Angeles, CA 90071. Harry works approximately 160 hours per month at the firm, including during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Hyun 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®

None

Experience

Current

February 1, 2011 - Present

POSITIVE DELTA ASSET MANAGEMENT LLC

Office #1: 520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071

RIA

CRD#: 134775

Los Angeles, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(2/1/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2011

Uniform Investment Adviser Law Examination

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

GB POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT LLC | GB POSITIVE DELTA ASSET MANAGENT, LLC

CRD#: 134775 / SEC#: 801-69722

RIA

Registered Investment Advisory firm - (7/12/2012 Terminated)

California

Registered Investment Advisory firm - (6/13/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 388-3638

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 28,800,658

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harry H. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Hyun Woong Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

POSITIVE DELTA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2011

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POSITIVE DELTA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors