Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Kim is a financial advisor with over 20 years of experience in the industry. Paul is currently registered with Stifel, Nicolaus & Company, Inc. in San Jose, California and has prior experience with Morgan Stanley, Morgan Stanley & Co. Incorporated, Wells Fargo Investments, LLC, UBS Financial Services Inc., Salomon Smith Barney Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Paul's experience includes working with high-net-worth individuals, corporations, charitable organizations, insurance companies, and pooled investment vehicles.
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.
1
2
CA
08/22/2018 - Present
Stifel, Nicolaus & Company, Inc. (SAN JOSE CA)
CA
06/01/2009 - 08/15/2018
MORGAN STANLEY (CUPERTINO CA)
CA
02/01/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CUPERTINO CA)
CA
12/18/2003 - 02/01/2008
WELLS FARGO INVESTMENTS, LLC (HALF MOON BAY CA)
NJ
05/15/2002 - 12/15/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/12/2001 - 05/15/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
11/16/2000 - 06/29/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 05/24/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/07/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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