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Detailed Report
DAVID DAEJOON KIM
DAEJOON KIM
CRD#: 4351580
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Investment Adviser
M3 ASSET MANAGEMENT, INC.CRD#: 169461 595 E. COLORADO BOULEVARD
SUITE 504
PASADENA, CA 91101
Registration History
2002200420062008201020122014201620182020202220242026IAM3 ASSET MANAGEMENT, INC. (CRD# 169461)2014 - Present (11 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2012 - 2014 (1 year)IAMORGAN STANLEY (CRD# 149777)2009 - 2012 (3 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)IAMORGAN STANLEY (CRD# 7556)2005 - 2007 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2005 (4 years)
Disclosure(s)
View By:
10/10/2008
Customer Dispute
Denied
License(s)

State Registrations

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California 1/3/2014
Current Registration(s)
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M3 ASSET MANAGEMENT, INC. (CRD#:169461)
595 E. COLORADO BOULEVARD SUITE 504, PASADENA, CA 91101
Registered with this firm since 1/3/2014
Previous Registration(s)
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 12/07/2012 - 01/07/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) LOS ANGELES, CA
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 06/01/2009 - 12/12/2012 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
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 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
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 09/02/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LOS ANGELES, CA
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 06/15/2001 - 09/22/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
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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
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.