Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Kim has been in the financial services industry since 1991. Thomas is a registered representative of Cetera Investment Advisers LLC and has been associated with them since 2019. Previously, Thomas was affiliated with Infinex Investments, Inc., Citigroup Global Markets Inc., Santander Securities LLC, and other firms. Thomas holds a Series 63, Series 65, Series 7, and SIE license. Thomas specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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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2
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 1/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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