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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rex? Claim Your ProfileRex Kim is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Rex has been in the securities industry since 2002. Rex holds Series 4, 7, 9, 10, 24, 52TO, 53, 63, and 66 licenses. Rex also has registrations in 53 states and 2 jurisdictions. Rex Kim is a registered principal with Merrill Lynch, Pierce, Fenner & Smith Inc. In the past, Rex Kim has been employed by BANC OF AMERICA INVESTMENT SERVICES, INC. and COUNTRYWIDE INVESTMENT SERVICES, INC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
11/02/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
10/09/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (RIVERSIDE CA)
AZ
03/05/2004 - 10/13/2008
COUNTRYWIDE INVESTMENT SERVICES, INC. (CHANDLER AZ)
NY
08/19/2002 - 01/26/2004
IFMG SECURITIES, INC. (PURCHASE NY)
BOTH
Issued 02/17/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/17/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/31/2009
Series 4 - Registered Options Principal Examination
BC
Issued 10/10/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/29/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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