Liset Kim
Professional Summary
Liset Kim, who also goes by Liset Valle-jimenez, is a registered financial advisor currently at CAPFINANCIAL SECURITIES, LLC. located in Lake Mary, Florida. Liset is registered as a RR (Registered Representative) and started their career in finance in 2016. Liset has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Liset Valle-Jimenez
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
Current Firm
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC
Contact Information
Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609Phone Number
(919) 870-6822Established
North Carolina since 11/21/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | — |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP/PFO/POO | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| LEDDY, ANN | CHIEF COMPLIANCE OFFICER | 5024384 |
| ROLAND, RAYMOND SCOTT | SENIOR MANAGER, FINANCE/FINOP | 4267751 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
Regulatory Event
1Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
State Registrations and Notice Filings
(2/22/2024)
(2/22/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC
CRS (Client Relationship Summary) - BD
Click below to view Liset Kim's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CHARLES SCHWAB & CO., INC.
CHOREO, LLC