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Steven D Kim

Barclays Capital Inc.

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About Steven D Kim

Steven D Kim is a financial professional with over 18 years of experience in the securities industry. Steven holds a Series 7, 52TO, 53, 79TO and SIE license and is registered in all 50 states. Steven has been associated with Barclays Capital Inc. since June 1, 2023. Prior to that, Steven was employed by J.P. MORGAN SECURITIES LLC from October 1, 2008 to May 22, 2023 and J.P. MORGAN SECURITIES INC. from November 16, 2004 to October 1, 2008.

Firm Information

Steven Kim is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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.

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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Steven Kim’s Registration & Firm History

CA

06/01/2023 - Present

Barclays Capital Inc. (SAN FRANCISCO CA)

CA

10/01/2008 - 05/22/2023

J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)

CA

11/16/2004 - 10/01/2008

J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 02/05/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/07/2018

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Steven D Kim.
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