Dustin Kim
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.
Dustin Kim, CFP® was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2014. Dustin had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021
Experience
September 14, 2021 - February 19, 2026
AUSTIN ASSET
June 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.
Visual representation of state registrations
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
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.
