EK
Eunjoo Kim
TRANSAMERICA FINANCIAL ADVISORS
Portland, OR 97224
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CRD#: 7416007
EK
Professional summary
Eunjoo Kim is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Portland, Oregon.
Eunjoo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Eunjoo has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc HSA INSURANCE POSITION: agent NATURE: Massachusetts health and dental marketplace INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: 135 Wood Rd, Braintree MA 02184, United States DESCRIPTION: I will sell health and dental insurance for individuals and families. My responsibility is getting a quote for them from HSA insurance and then enrolling in them. It is not a daily activity, but dependent on customer's calling and requests. AETNA POSITION: Independent agent NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2024 ADDRESS: 151 Farmington Avenue, Hartford, CT 06156, United States DESCRIPTION: As an independent agent, I will sell Aetna Insurance's Medicare products to customers when they want to buy them. Not a major daily activity, but only performed when requested by the customer. KAISER PERMANENTE POSITION: Independent agent NATURE: Health Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2024 ADDRESS: 1 Kaiser Plaza, Oakland CA 94612, United States DESCRIPTION: As an independent agent, I will sellKaiser Permanete Insurance's Medicare products to customers when they want to buy them. Not a major daily activity, but only performed when requested by the customer. TUFTS HEALTH PLAN POSITION: Independent agent NATURE: Insurance plan sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024ADDRESS: 1 Wellness Way, Canton MA 02021, United States DESCRIPTION: As an independent agent, I will sell the Tufts health plan's Medicare products to customers when they want to buy them.It is Not a major daily activity, but only performed when requested by the customer. WELLCARE HEALTH PLANS POSITION: independent agent NATURE: Medicare sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024 ADDRESS: 8725 Henderson Road, Tempa FL 33631, United States DESCRIPTION: As an independent agent, I will sell the Wellcare Health plan's Medicare products to customers when they want to buy those productsIt is Not a major daily activity, but only performed when requested by the customer. UNITED HEALTHCARE/ 0621-Present / Investment Related: No /185 Asylum St, Fi11 Hartford, CT 06103 / Agent / Health Insurance / Hrs. Work Monthly: 3 / Sec Trading Hrs.: 3 / Sales HEALTHSHERPA POSITION: agent NATURE: health insurance sales and referral INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 10/03/2023 ADDRESS: 1215 19th St 2nd Floor, Sacramento CA 95812, United States DESCRIPTION: I will check an email from this company daily. After I get an call from customer, I will justget an quote forindividual health insurance and give a referral.
CRS (Client Relationship Summary) - RIA
Click below to view Eunjoo Kim's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eunjoo 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
February 14, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7421 Sw Bridgeport Rd, Portland, OR 97224RIA
BD
CRD#: 16164
Portland, OR
Current
July 30, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7421 Sw Bridgeport Rd, Portland, OR 97224RIA
BD
CRD#: 16164
Portland, OR
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
Massachusetts(3/11/2022)
RR
Oregon(10/7/2021)
IAR
Oregon(2/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/29/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
