Unclaimed
Sherry To-nga Kim is a financial professional with over 20 years of experience in the industry. Sherry is currently registered with Northwestern Mutual Investment Services, LLC. Prior to joining Northwestern Mutual Investment Services, LLC, Sherry was employed by SHOPOFF SECURITIES, INC., CENTAURUS FINANCIAL, INC., MURIEL SIEBERT & CO., INC., FOOTHILL SECURITIES, INC., SCOTTRADE, INC., WORLD GROUP SECURITIES, INC., WMA SECURITIES, INC., and TD WATERHOUSE INVESTOR SERVICES, INC.. Sherry holds a Series 63, Series 10, Series 9, SIE, and Series 7 license. Sherry is registered to provide investment advice in 25 states.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
CA
05/25/2021 - Present
Northwestern Mutual Investment Services, LLC (Los Angeles CA)
CA
10/24/2018 - 05/29/2020
SHOPOFF SECURITIES, INC. (IRVINE CA)
CA
03/10/2017 - 05/10/2018
CENTAURUS FINANCIAL, INC. (ANAHEIM CA)
CA
06/27/2016 - 11/29/2016
MURIEL SIEBERT & CO., INC. (BEVERLY HILLS CA)
CA
03/27/2015 - 12/15/2015
FOOTHILL SECURITIES, INC. (Santa Clara CA)
CA
03/15/2006 - 11/03/2014
SCOTTRADE, INC. (ALHAMBRA CA)
GA
04/12/2002 - 03/16/2006
WORLD GROUP SECURITIES, INC. (DULUTH GA)
GA
08/14/2001 - 04/12/2002
WMA SECURITIES, INC. (DULUTH GA)
NE
10/29/1998 - 07/19/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 08/12/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/10/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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