Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Blaine Shim is a financial advisor registered with LPL Financial LLC, with over 28 years of experience in the financial industry. Stuart has been with LPL Financial LLC since March 2009, and before that, they were with Citigroup Global Markets Inc. from 1998 to 2009. Stuart is licensed in California, Florida, Hawaii, Idaho, Nevada and Tennessee. They hold Series 63, 65, 7, 24, and 31 licenses, as well as the SIE exam. Stuart provides investment advice to clients, including financial planning, portfolio management for businesses and individuals, and other advisory services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
03/09/2009 - Present
LPL Financial LLC (IRVINE CA)
CA
06/03/1998 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (IRVINE CA)
NA
10/26/1988 - 03/17/1989
SOUTHMARK FINANCIAL SERVICES, INC.
NA
02/24/1986 - 03/17/1989
SOUTHMARK FINANCIAL SERVICES, INC.
NA
03/18/1987 - 11/03/1988
THE NIKKO SECURITIES CO. INTERNATIONAL, INC.
NA
11/25/1983 - 04/18/1984
EQUITEC SECURITIES COMPANY
IA
Issued 06/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/05/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 06/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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