Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Kim is a financial advisor with over 18 years of experience in the industry. Richard is currently registered with J.P. Morgan Securities LLC and holds licenses for both securities and investment advisory services. Before joining J.P. Morgan Securities LLC, Richard worked at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard's prior experience also includes roles at Banc of America Investment Services, Inc. Richard is a dedicated professional committed to providing financial advice and guidance to clients.
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
CA
03/13/2023 - Present
J.p. Morgan Securities LLC (HUNTINGTON BEACH CA)
CA
05/28/2014 - 07/16/2019
WELLS FARGO CLEARING SERVICES, LLC (IRVINE CA)
CA
12/17/2010 - 05/29/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (IRVINE CA)
CA
05/24/2005 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (RANCHO SANTA MARGARITA CA)
MA
08/30/2000 - 04/20/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 01/14/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/29/2000
Series 6 - Investment Company Products/Variable Contracts 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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