Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Kim is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Paramus, NJ. Charles has been in the financial industry since 2014, and has a strong background in both broker-dealer and investment advisory services. Charles holds the Series 7, 7TO, 55, 63 and 66 securities licenses and has worked with clients ranging from individuals to high-net-worth individuals, corporations, and institutions. Charles's expertise extends beyond traditional investment management, encompassing areas like performance measurement reports, allocation modeling, and IPS.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
10/06/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PARAMUS NJ)
NJ
12/12/2019 - 09/11/2020
NYLIFE SECURITIES LLC (SADDLE BROOK NJ)
NY
05/29/2003 - 07/31/2003
WORLDCO, L.L.C. (NEW YORK NY)
NY
09/06/2002 - 04/10/2003
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
05/06/2002 - 09/17/2002
WORLDCO, L.L.C. (NEW YORK NY)
NY
10/31/2001 - 05/01/2002
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NJ
06/14/1999 - 10/19/2001
HEARTLAND SECURITIES CORP. (EDISON NJ)
NY
12/09/1997 - 10/27/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
08/12/1996 - 08/19/1997
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 10/30/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/31/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/08/2019
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/09/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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