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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Kim is an investment advisor representative at Cetera Investment Advisers LLC, a firm with a focus on providing financial planning, pension consulting, and portfolio management for individuals and businesses. Thomas has been in the industry since 1991 and has a diverse work history, having previously worked at firms such as INFINEX INVESTMENTS, INC., CITIGROUP GLOBAL MARKETS INC., SANTANDER SECURITIES LLC, and INVEST FINANCIAL CORPORATION. Thomas holds the Series 7, Series 63, and Series 65 licenses, as well as the SIE exam. Thomas is registered to provide investment advisory services in California, New Jersey, and New York.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
07/26/2019 - Present
Cetera Investment Advisers LLC (LOS ANGELES CA)
CA
08/07/2017 - 07/23/2019
INFINEX INVESTMENTS, INC. (Los Angeles CA)
CA
07/11/2017 - 08/17/2017
CITIGROUP GLOBAL MARKETS INC. (SANTA MONICA CA)
CA
08/17/2016 - 07/12/2017
INFINEX INVESTMENTS, INC. (Los Angeles CA)
NJ
01/19/2016 - 07/07/2016
SANTANDER SECURITIES LLC (LIVINGSTON NJ)
NJ
10/13/2015 - 12/28/2015
INVEST FINANCIAL CORPORATION (FORT LEE NJ)
NJ
04/06/2011 - 10/15/2015
ESSEX NATIONAL SECURITIES, LLC (MILBURN NJ)
NJ
05/27/2008 - 04/19/2011
LPL FINANCIAL LLC (CLIFFSIDE PARK NJ)
NJ
08/25/2004 - 05/27/2008
IFMG SECURITIES, INC. (PALISADES PARK NJ)
NY
07/19/2004 - 08/05/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
02/27/2002 - 06/17/2004
QUICK & REILLY, INC. (NEW YORK NY)
MO
10/01/2000 - 02/19/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
10/07/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
12/23/1996 - 09/22/1998
WHALE SECURITIES CO., L.P. (NEW YORK NY)
NY
06/17/1994 - 12/23/1996
COMMONWEALTH ASSOCIATES (NEW YORK NY)
NY
11/14/1991 - 06/22/1994
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
01/01/1991 - 11/06/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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