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Sherry To-nga Kim

Northwestern Mutual Investment Services, LLC

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About Sherry To-nga Kim

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.

Firm Information

Sherry Kim is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Sherry Kim’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Sherry To-nga Kim. Review regulatory record here.
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