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 is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas Kim has been in the industry since 1988 and has held registrations with several other firms, including Swiss American Securities Inc., CitiCorp Investment Services, and Waterhouse Securities, Inc. Thomas Kim specializes in providing investment advice and portfolio management to individuals, businesses, pension plans, corporations, and charitable organizations. Thomas Kim is also registered as an Investment Advisor Representative in New Jersey and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
11/17/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MILLTOWN NJ)
NY
11/16/2005 - 07/11/2006
SWISS AMERICAN SECURITIES INC. (NEW YORK NY)
NY
06/15/1999 - 11/16/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NE
06/15/1998 - 02/11/1999
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
09/16/1997 - 06/15/1998
WASHINGTON DISCOUNT BROKERAGE CORP. (NEW YORK NY)
NE
07/25/1996 - 10/20/1997
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
07/31/1993 - 08/01/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
09/14/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
09/05/1991 - 08/14/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
09/05/1991 - 08/14/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
CT
06/20/1990 - 08/22/1991
ADVEST, INC. (HARTFORD CT)
NY
04/28/1989 - 07/05/1990
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NA
05/06/1988 - 03/04/1989
BERKELEY SECURITIES CORPORATION
NA
11/25/1987 - 05/23/1988
THE STUART-JAMES COMPANY, INC.
BOTH
Issued 11/16/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/04/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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