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Steven Y Kim

National Financial Services LLC

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About Steven Y Kim

Steven Kim is a registered representative with over 27 years of experience in the financial services industry. Steven is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC. Steven has a wide range of experience and holds multiple licenses, including Series 4, 7, 9, 10, 24, 55, 57TO and SIE. Steven is licensed in all 50 states and the District of Columbia.

Firm Information

Steven Kim is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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

MA

12/11/2000 - Present

National Financial Services LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 09/28/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/01/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/26/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/27/2005

Series 24 - General Securities Principal Examination

BC

Issued 05/28/1997

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/10/1995

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

M

MEMX LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Steven Y Kim.
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