Dustin Kim
Professional summary
Dustin Kim, CFP® is a registered financial advisor currently at AUSTIN ASSET located in Austin, Texas.
Dustin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Dustin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 56 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dustin Kim's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
September 14, 2021 - Present
AUSTIN ASSET
Office #1: 7200 N. Mopac, Suite 315, Austin, TX 78731June 12, 2018 - August 4, 2021
ERNST & YOUNG INVESTMENT ADVISERS LLP
January 14, 2015 - January 4, 2018
T3 TRADING GROUP, LLC
February 4, 2014 - November 3, 2014
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
AUSTIN ASSET
CRD#: 105441 / SEC#: 801-32217
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/14/2021)
Exams
Series 56
Date: 1/14/2015
Proprietary Trader Qualification ExaminationCurrent Firm
AUSTIN ASSET
CRD#: 105441 / SEC#: 801-32217
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,243 |
| AUM (Assets Under Management) | $ 1,666,286,145 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 | ||
| 10/21/2022 |
Red Flags
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