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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Chongchul Kim is a financial advisor registered with UBS Financial Services Inc. John has been in the financial services industry since 1974. John holds the Series 4, 5, 7, and 63 licenses and is a registered investment advisor. John's professional experience includes working with PAINE, WEBBER, JACKSON & CURTIS INCORPORATED and PIPER, JAFFRAY & HOPWOOD INCORPORATED before joining UBS Financial Services Inc. John has a broad range of specializations and experience and is registered to do business in Arizona, California, Colorado, Florida, Illinois, Michigan, Minnesota, Montana, Nevada, New Mexico, New York, Oregon, South Carolina, Tennessee, Texas, Virginia, and Washington.
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.
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.
See schedule d - miscellaneous
1
2
MN
09/12/1978 - Present
UBS Financial Services Inc. (MINNEAPOLIS MN)
NA
07/17/1975 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
04/16/1974 - 07/25/1975
PIPER, JAFFRAY & HOPWOOD INCORPORATED
IA
Issued 02/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/1977
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/11/1974
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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