Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Y Kim is a financial professional with over 15 years of experience in the industry. David is currently registered as a Registered Representative (RA) with Merrill Lynch, Pierce, Fenner & Smith Inc. in New Jersey, Pennsylvania and Texas. David holds Series 3, 7, 9, 10, 66 and SIE licenses. David is a highly experienced advisor who has worked with a wide range of clients, including high net worth individuals, corporations, insurance companies, charitable organizations, pension and profit sharing plans, and state or municipal government entities. David provides a variety of advisory services, including portfolio management, financial planning, and pension consulting.
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
PA
07/10/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WYOMISSING PA)
BOTH
Issued 09/02/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/27/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/03/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2005
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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