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THOMAS TAEMIN KIM
CRD#: 2905325
IA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 11747 NE 1ST STREET
SUITE 202
BELLEVUE, WA 98005
SUITE 202
BELLEVUE, WA 98005
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 11747 NE 1ST STREET
SUITE 202
BELLEVUE, WA 98005-4830
SUITE 202
BELLEVUE, WA 98005-4830
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Disclosures
25
Years of Experience
View By:
State Registrations
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Arizona 2/6/2017
B
Nevada 5/23/2024
B
California 4/2/2019
B
New Mexico 10/14/2014
B
Florida 4/3/2023
B
Oklahoma 3/3/2023
B
Hawaii 7/24/2017
B
Oregon 4/8/2016
B
Idaho 10/11/2024
B
Texas 3/13/2019
B
Indiana 3/3/2023
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Texas 3/13/2019
B
Maryland 11/22/2013
B
Washington 11/21/2013
B
Montana 11/18/2020
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Washington 2/25/2014
SRO Registrations
B
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Registered with this firm since 2/25/2014
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Registered with this firm since 11/21/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/10/2009 - 11/18/2013 | CINCINNATI, OH | |
B | 03/23/2000 - 05/13/2009 | CHARLOTTE, NC | |
B | 05/26/1999 - 03/03/2000 | NEW YORK, NY | |
B | 09/09/1997 - 12/01/1997 | GREAT FALLS, VA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.