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Detailed Report
THOMAS CHI KIM
CRD#: 4193904
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5 PARK PLAZA 19TH & 20TH FLS
[LT/SB/SG-RBO]
IRVINE, CA 92614
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2011 (4 years)2 FIRMS2011 - Present (14 years)BTD AMERITRADE, INC. (CRD# 7870)2001 - 2006 (5 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2001 - 2001 (<1 year)
License(s)

State Registrations

B
Arizona 2/23/2017
B
Missouri 1/3/2011
B
California 1/3/2011
B
Nevada 3/20/2019
IA
California 1/3/2011
B
New Mexico 1/3/2011
B
Colorado 1/3/2011
B
New York 1/3/2011
B
Connecticut 1/3/2011
B
Ohio 4/23/2020
B
Florida 7/19/2019
B
Oregon 4/21/2020
B
Hawaii 1/3/2011
B
Tennessee 2/5/2024
B
Idaho 4/22/2020
B
Utah 11/2/2021
B
Massachusetts 3/19/2021
B
Virginia 12/2/2021
B
Michigan 6/20/2023
B
Washington 4/21/2020

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
5 PARK PLAZA 19TH & 20TH FLS [LT/SB/SG-RBO], IRVINE, CA 92614
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5 PARK PLAZA 19TH & 20TH FLS [LT/SB/SG-RBO], IRVINE, CA 92614
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 07/17/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS ANGELES, CA
B
 01/05/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS ANGELES, CA
B
 11/13/2001 - 12/04/2006 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
B
 03/14/2001 - 08/22/2001 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
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.