Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames G. Kim is a financial advisor with over 17 years of experience in the industry. James is currently registered with J.p. Morgan Securities LLC and has previously worked with KMS Financial Services, Inc., FSIC, Hornor, Townsend & Kent, Inc., EK Riley Investments, LLC, Wells Fargo Investments, LLC, State Street Global Markets, LLC, E*TRADE Securities LLC, Commonwealth Financial Network, Prudential Securities Incorporated, and Salomon Smith Barney Inc. James holds the Series 65, 63, 53, 4, 24, 52TO, 57TO, SIE, 55, and 7 licenses. James specializes in providing financial advice to individuals, high-net-worth individuals, corporations, businesses, insurance companies, charitable organizations, and pension and profit-sharing plans.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
WA
06/19/2018 - Present
J.p. Morgan Securities LLC (OLYMPIA WA)
WA
04/02/2018 - 06/01/2018
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
WA
09/05/2014 - 03/23/2018
FSIC (Edmonds WA)
WA
05/08/2013 - 06/25/2014
HORNOR, TOWNSEND & KENT, INC. (BELLEVUE WA)
WA
03/18/2011 - 02/02/2012
EK RILEY INVESTMENTS, LLC (SEATTLE WA)
WA
05/28/2008 - 06/22/2009
WELLS FARGO INVESTMENTS, LLC (SEATTLE WA)
MA
06/22/2004 - 06/05/2006
STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)
NJ
07/28/2003 - 06/22/2004
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
MA
05/03/2000 - 03/13/2002
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
NY
07/29/1999 - 03/14/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/09/1999 - 07/27/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 08/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/12/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/24/2005
Series 4 - Registered Options Principal Examination
BC
Issued 12/20/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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