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BK

Boram Kim

Some features on this profile are disabled
CRD#: 6241680
BK

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.

Boram Kim was a registered financial professional .

Boram is a previously registered financial professional and started their career in finance in 2013. Boram had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 18, 2018 - January 8, 2019

PACIFIC GATE CAPITAL MANAGEMENT

RIA
CRD#: 293065
PASADENA, CA
Past

June 7, 2018 - August 15, 2018

PACIFIC GATE CAPITAL MANAGEMENT

RIA
CRD#: 293065
PASADENA, CA
Past

October 3, 2013 - January 16, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/3/2013
Investment Banking Registered Representative Examination

Current Firm

PG
PACIFIC GATE CAPITAL MANAGEMENT
PACIFIC GATE CAPITAL MANAGEMENT | PACIFIC GATE CAPITAL MANAGEMENT, LLC

CRD#: 293065 / SEC#: 801-113990

RIA
Registered Investment Advisory firm - (1/8/2019 Terminated)
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Contact information

Main Address
1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA 90067
Mailing Address
Phone number
(626) 408-8698
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PACIFIC GATE CAPITAL MANAGEMENT ADV PART 2 BROCHURE (10/5/2018)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
CaliforniaERA - Active2/4/2019

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

PACIFIC GATE CAPITAL MANAGEMENT

CRD#: 293065

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