Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Kim is a financial advisor with Wells Fargo Securities, LLC. Michael has been in the financial industry since 2014. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 63, Series 6TO, Series 82TO, Series 99TO, Series 22TO, SIE, Series 7, and Series 79. Michael is also licensed to do business in all states except Iowa.
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.
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.
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2
CA
12/22/2021 - Present
Wells Fargo Securities, LLC (LOS ANGELES CA)
CA
02/10/2021 - 11/22/2021
CITIZENS CAPITAL MARKETS (LOS ANGELES CA)
CA
09/01/2016 - 11/17/2020
TRUIST SECURITIES, INC. (LOS ANGELES CA)
CA
05/19/2010 - 03/20/2013
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
BC
Issued 09/26/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2017
Series 7 - General Securities Representative Examination
BC
Issued 09/01/2016
Series 79 - Investment Banking Registered 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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