Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Kim is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Chris is registered with the state of New York and South Carolina. Chris has been in the industry since September 11, 2007. Previously, Chris worked for Morgan Stanley, LPL Financial LLC, Ensemble Financial Services, Inc., HSBC Securities (USA) Inc., Hyundai Securities (America) Inc., LG Securities America, Inc., ABN AMRO Incorporated, Samsung Securities (America), Inc. and Auerbach Grayson & Company Incorporated. Chris has a Series 7, Series 6, Series 31, Series 63, Series 65, Series 24 and Series 66 license. Chris specializes in providing financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients. Chris is also a registered Investment Advisor Representative.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
NY
04/11/2023 - Present
Wells Fargo Clearing Services, LLC (ITHACA NY)
NY
05/14/2020 - 04/07/2023
MORGAN STANLEY (ITHACA NY)
NY
04/11/2016 - 10/11/2016
LPL FINANCIAL LLC (ITHACA NY)
NY
05/27/2014 - 07/25/2014
LPL FINANCIAL LLC (ITHACA NY)
NY
08/02/2011 - 06/24/2014
ENSEMBLE FINANCIAL SERVICES, INC. (ITHACA NY)
NY
06/07/2010 - 07/26/2011
HSBC SECURITIES (USA) INC. (ITHACA NY)
NY
08/18/2004 - 01/04/2006
HYUNDAI SECURITIES (AMERICA) INC. (NEW YORK NY)
NY
10/24/2003 - 08/03/2004
LG SECURITIES AMERICA, INC. (NEW YORK NY)
CT
07/07/2003 - 10/20/2003
ABN AMRO INCORPORATED (STAMFORD CT)
NY
05/22/2000 - 06/23/2003
SAMSUNG SECURITIES (AMERICA), INC. (NEW YORK NY)
NY
03/09/1999 - 04/27/2000
HYUNDAI SECURITIES (AMERICA) INC. (NEW YORK NY)
NY
09/03/1998 - 02/10/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
12/23/1996 - 07/03/1997
AUERBACH GRAYSON & COMPANY INCORPORATED (NEW YORK NY)
BOTH
Issued 05/22/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/28/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/13/2002
Series 24 - General Securities Principal Examination
BC
Issued 05/14/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/11/2016
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2010
Series 7 - General Securities Representative Examination
BC
Issued 06/04/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/09/1998
Series 31 - Futures Managed Funds Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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