GK
Glen Y. Kim
INDEPENDENT FINANCIAL GROUP
Seattle, WA 98125
Some features on this profile are disabled
CRD#: 7364779
GK
Professional summary
Glen Yonggun Kim, who also goes by Yonggun Kim, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Seattle, Washington.
Glen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Glen has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yonggun Kim
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.
(1) U&T FINANCIAL, INC POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 07/07/2023 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: I am using this dba to provide IFG services to clients, including life, health, P&C insurance. (2) PACIFIC RELIANCE INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 32437 76TH AVCE W STE 7, EDMODNS WA 98026, United States DESCRIPTION: Selling property and casualty insurance. GK INSURANCE AGENCY LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/20/2025 ADDRESS: 21327 76TH AVE W APT 7, Edmonds WA 98026, United States DESCRIPTION: This entity is used solely for tax reporting purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Glen Yonggun Kim's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Glen Yonggun 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®
NoneExperience
Current
July 5, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 155 Ne 100th St Ste 403, Seattle, WA 98125RIA
BD
CRD#: 7717
Seattle, WA
Current
July 5, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 155 Ne 100th St Ste 403, Seattle, WA 98125RIA
BD
CRD#: 7717
Seattle, WA
Past
February 1, 2023 - July 12, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
EDMONDS, WA
Past
August 4, 2022 - September 28, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BELLEVUE, WA
Past
June 27, 2022 - September 28, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BELLEVUE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Washington(7/5/2023)
IAR
Washington(7/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
