EK
Ethan P. Kim
SPIDERROCK ADVISORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7616478
EK
Professional summary
Ethan Patrick Kim, who also goes by Ethan Kim, is a registered financial advisor currently at SPIDERROCK ADVISORS, LLC located in Chicago, Illinois and BLACKROCK INVESTMENTS, LLC located in Chicago, Illinois.
Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ethan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ethan 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ethan Patrick 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
June 5, 2024 - Present
SPIDERROCK ADVISORS, LLC
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
CRD#: 171992
Chicago, IL
Current
June 5, 2024 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 227 W. Monroe Street Suite 4300, Chicago, IL 60606BD
CRD#: 38642
CHICAGO, IL
Past
November 4, 2022 - August 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past
October 14, 2022 - August 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROLLING MEADOWS, IL
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".
SA
SPIDERROCK ADVISORS, LLC
SPIDERROCK ADVISORS, LLC
CRD#: 171992 / SEC#: 801-80178
RIA
Registered Investment Advisory firm - (8/20/2014 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.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
Alabama(6/5/2024)
RR
Alaska(6/5/2024)
RR
Arizona(6/5/2024)
RR
Arkansas(6/5/2024)
RR
California(6/5/2024)
RR
Colorado(6/5/2024)
RR
Connecticut(6/5/2024)
RR
Delaware(6/5/2024)
RR
District of Columbia(6/5/2024)
RR
Florida(6/5/2024)
RR
Georgia(6/5/2024)
RR
Hawaii(6/5/2024)
RR
Idaho(6/5/2024)
RR
Illinois(6/5/2024)
IAR
Illinois(6/5/2024)
RR
Indiana(6/5/2024)
RR
Iowa(6/5/2024)
RR
Kansas(6/5/2024)
RR
Kentucky(6/5/2024)
RR
Louisiana(6/5/2024)
RR
Maine(6/5/2024)
RR
Maryland(6/5/2024)
RR
Massachusetts(6/5/2024)
RR
Michigan(6/5/2024)
RR
Minnesota(6/5/2024)
RR
Mississippi(6/5/2024)
RR
Missouri(6/5/2024)
RR
Montana(6/5/2024)
RR
Nebraska(6/5/2024)
RR
Nevada(6/5/2024)
RR
New Hampshire(6/5/2024)
RR
New Jersey(6/5/2024)
RR
New Mexico(6/5/2024)
RR
New York(6/5/2024)
RR
North Carolina(6/5/2024)
RR
North Dakota(6/5/2024)
RR
Ohio(6/6/2024)
RR
Oklahoma(6/5/2024)
RR
Oregon(6/5/2024)
RR
Pennsylvania(6/5/2024)
RR
Puerto Rico(6/5/2024)
RR
Rhode Island(6/5/2024)
RR
South Carolina(6/5/2024)
RR
South Dakota(6/5/2024)
RR
Tennessee(6/5/2024)
RR
Texas(6/5/2024)
RR
Utah(6/5/2024)
RR
Vermont(6/5/2024)
RR
Virgin Islands(6/5/2024)
RR
Virginia(6/5/2024)
RR
Washington(6/5/2024)
RR
West Virginia(6/5/2024)
RR
Wisconsin(6/5/2024)
RR
Wyoming(6/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/14/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SPIDERROCK ADVISORS, LLC
SPIDERROCK ADVISORS, LLC
CRD#: 171992 / SEC#: 801-80178
RIA
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Contact information
Main Address
227 West Monroe Suite 4300, Chicago, IL 60606
Mailing Address
Phone number
(312) 847-0300
Established
Firm type
Fiscal year end
# of Employees
50
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,050 |
| AUM (Assets Under Management) | $ 5,979,259,343 |
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.
