Choong M. Kim

CETERA INVESTMENT ADVISERS LLC

WEST COVINA, CA 91790

Some features on this profile are disabled

CRD#: 7438483

Professional summary

Choong Myung Kim, who also goes by Choong Myung Kim, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Covina, California and CETERA WEALTH SERVICES, LLC located in West Covina, California.

Choong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Choong has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Choong Myung 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. NAME OF OTHER BUSINESS: STRATEGIC FORTUNE WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT, MARKETING INSURANCES AND ANNUITIES; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: WORK WITH INDIVIDUALS, FAMILIES, AND BUSINESSES HELP THEM ACHIEVE THEIR FINANCIAL GOALS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Choong Myung Kim's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 18, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1000 Lakes Drive, Suite 340, West Covina, CA 91790

RIA

CRD#: 105644

WEST COVINA, CA

Current

July 18, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1000 Lakes Drive Suite 420, West Covina, CA 91790

CRD#: 13572

West Covina, CA

Past

April 16, 2024 - June 14, 2024

W&S BROKERAGE SERVICES, INC.

RIA

CRD#: 8099

Cerritos, CA

Past

August 12, 2022 - June 14, 2024

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Cerritos, CA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

California
(7/18/2024)

IAR

California
(7/18/2024)

North Carolina
(7/18/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/11/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/12/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/24/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Ryan Perry

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Gabriel Shahin

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Quinn Carranza

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Choong M. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Choong Myung Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2024

Series 63

Date: 9/17/2022

Series 6TO

Date: 8/12/2022

SIE

Date: 6/24/2022

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors