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Detailed Report
Chris Kim
CRD#: 2721851
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2430 N TRIPHAMMER RD
STE A
ITHACA, NY 14850
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2014 (2 years)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2023 - Present (2 years)BMORGAN STANLEY (CRD# 149777)2020 - 2023 (2 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2010 - 2011 (1 year)BHYUNDAI SECURITIES (AMERICA) INC. (CRD# 39356)2004 - 2006 (1 year)BLG SECURITIES AMERICA, INC. (CRD# 30660)2003 - 2004 (<1 year)BABN AMRO INCORPORATED (CRD# 15776)2003 - 2003 (<1 year)BSAMSUNG SECURITIES (AMERICA), INC. (CRD# 43432)2000 - 2003 (3 years)BHYUNDAI SECURITIES (AMERICA) INC. (CRD# 39356)1999 - 2000 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1998 - 1999 (<1 year)BAUERBACH GRAYSON & COMPANY INC... (CRD# 30761)1996 - 1997 (<1 year)IAMORGAN STANLEY (CRD# 149777)2021 - 2023 (2 years)IAMORGAN STANLEY (CRD# 149777)2020 - 2020 (<1 year)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2011 - 2011 (<1 year)
License(s)

State Registrations

B
New York 4/11/2023
B
South Carolina 4/11/2023
IA
New York 4/11/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2430 N TRIPHAMMER RD STE A, ITHACA, NY 14850
Registered with this firm since 4/11/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2430 N TRIPHAMMER RD STE A, ITHACA, NY 14850
Registered with this firm since 4/11/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/27/2021 - 04/07/2023 MORGAN STANLEY (CRD#:149777) ITHACA, NY
B
 05/14/2020 - 04/07/2023 MORGAN STANLEY (CRD#:149777) ITHACA, NY
IA
 05/22/2020 - 12/31/2020 MORGAN STANLEY (CRD#:149777) ITHACA, NY
IA
 04/08/2016 - 10/11/2016 LPL FINANCIAL LLC (CRD#:6413) ITHACA, NY
B
 04/11/2016 - 10/11/2016 LPL FINANCIAL LLC (CRD#:6413) ITHACA, NY
IA
 10/31/2011 - 12/18/2014 TOMPKINS FINANCIAL ADVISORS (CRD#:110125) ITHACA, NY
IA
 05/28/2014 - 07/25/2014 LPL FINANCIAL LLC (CRD#:6413) ITHACA, NY
B
 05/27/2014 - 07/25/2014 LPL FINANCIAL LLC (CRD#:6413) ITHACA, NY
B
 08/02/2011 - 06/24/2014 ENSEMBLE FINANCIAL SERVICES, INC. (CRD#:17443) ITHACA, NY
IA
 01/31/2011 - 07/26/2011 HSBC SECURITIES (USA) INC. (CRD#:19585) ITHACA, NY
B
 06/07/2010 - 07/26/2011 HSBC SECURITIES (USA) INC. (CRD#:19585) ITHACA, NY
B
 08/18/2004 - 01/04/2006 HYUNDAI SECURITIES (AMERICA) INC. (CRD#:39356) NEW YORK, NY
B
 10/24/2003 - 08/03/2004 LG SECURITIES AMERICA, INC. (CRD#:30660) NEW YORK, NY
B
 07/07/2003 - 10/20/2003 ABN AMRO INCORPORATED (CRD#:15776) STAMFORD, CT
B
 05/22/2000 - 06/23/2003 SAMSUNG SECURITIES (AMERICA), INC. (CRD#:43432) NEW YORK, NY
B
 03/09/1999 - 04/27/2000 HYUNDAI SECURITIES (AMERICA) INC. (CRD#:39356) NEW YORK, NY
B
 09/03/1998 - 02/10/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 12/23/1996 - 07/03/1997 AUERBACH GRAYSON & COMPANY INCORPORATED (CRD#:30761) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.