Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven J Kim is a financial advisor with Wells Fargo Securities, LLC. Steven has over 15 years of experience in the financial industry. Steven is a registered representative in all 50 states and the District of Columbia. Steven holds the Series 7, 63, 6, 22, 52, 82 and 99 licenses. Prior to joining Wells Fargo Securities, Steven was employed by Goldman Sachs & Co. LLC, Jefferies LLC, Citigroup Global Markets Inc., Barclays Capital Inc. and Lehman Brothers 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.
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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NY
07/13/2023 - Present
Wells Fargo Securities, LLC (New York NY)
NY
04/11/2019 - 07/26/2023
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
01/19/2016 - 03/26/2019
JEFFERIES LLC (NEW YORK NY)
NY
05/10/2010 - 01/07/2016
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/22/2008 - 04/22/2010
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/10/2007 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 09/15/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/13/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/13/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/13/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 07/13/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 07/13/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
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Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
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MEMX LLC
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MIAX Emerald, LLC
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MIAX PEARL, LLC
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Miami International Securities Exchange, LLC
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NYSE American LLC
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NYSE Arca, Inc.
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NYSE Chicago, Inc.
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NYSE National, Inc.
N
Nasdaq BX, Inc.
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Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
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Nasdaq MRX, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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