Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Kim is a financial professional with over 20 years of experience in the industry. David is currently registered with Morgan Stanley and is licensed to provide investment advice in New York. Prior to joining Morgan Stanley, David held positions at RBC Capital Markets, LLC, Barclays Capital Inc., Lehman Brothers Inc., UBS Financial Services Inc., PRUCO Securities, LLC., American Express Financial Advisors Inc., IDS Life Insurance Company, UBS PaineWebber Inc., UBS PaineWebber Services Inc., Royal Alliance Associates, Inc., and Datek Online Brokerage Services Corp. David holds several industry certifications, including the Series 66, 65, 63, 4, 24, 7, and SIE exams.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
07/09/2013 - Present
Morgan Stanley (PURCHASE NY)
NY
10/26/2010 - 07/17/2013
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
09/22/2008 - 11/20/2008
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/08/2005 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
01/05/2004 - 06/17/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
11/20/2002 - 01/12/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
MN
09/06/2002 - 11/14/2002
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/06/2002 - 11/14/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NJ
03/07/2002 - 06/12/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NJ
02/21/2002 - 06/12/2002
UBS PAINEWEBBER SERVICES INC. (WEEHAWKEN NJ)
AZ
03/03/1999 - 05/31/2000
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NE
05/29/1998 - 12/07/1998
DATEK ONLINE BROKERAGE SERVICES CORP. (OMAHA NE)
BOTH
Issued 03/28/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2000
Series 4 - Registered Options Principal Examination
BC
Issued 10/12/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Kim is the right advisor for you? Invested Better is here to help.
