Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kate? Claim Your ProfileKate Kim is an investment professional with over 15 years of experience in the financial services industry. Kate has worked with a number of firms, including Morgan Stanley, Shinhan Investment America Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kate is currently a registered representative with J.p. Morgan Securities LLC. Kate holds the Series 7, Series 63, Series 65, SIE and Series 99TO licenses.
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
NY
08/17/2021 - Present
J.p. Morgan Securities LLC (New York NY)
DE
07/06/2018 - 12/06/2019
MORGAN STANLEY (WILMINGTON DE)
NY
03/01/2012 - 03/06/2018
SHINHAN INVESTMENT AMERICA INC. (NEW YORK NY)
NY
08/24/2011 - 11/23/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/22/2011 - 07/11/2011
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
11/09/2009 - 07/16/2010
MIRAE ASSET SECURITIES (USA) INC. (NEW YORK NY)
NY
08/10/2006 - 10/05/2009
SAMSUNG SECURITIES (AMERICA), INC. (NEW YORK NY)
NY
03/07/2002 - 06/05/2002
GOOD MORNING SECURITIES USA INC. (NEW YORK NY)
NY
06/21/2000 - 02/22/2002
LG SECURITIES AMERICA, INC. (NEW YORK NY)
IA
Issued 07/14/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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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