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Detailed Report
Steve Cheol Kim
Steve Kim, Steven Cheol Kim, Yong Cheol Kim
CRD#: 4537269
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
20022004200620082010201220142016201820202022202420263 FIRMS2002 - 2002 (<1 year)2 FIRMS2005 - 2011 (5 years)2 FIRMS2011 - 2022 (11 years)2 FIRMS2022 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2002 - 2005 (2 years)IAMORGAN STANLEY (CRD# 7556)2003 - 2005 (1 year)
License(s)

State Registrations

B
California 11/28/2022
B
Colorado 1/13/2025
IA
California 11/28/2022
B
New York 2/14/2024

SRO Registrations

B
 FINRA

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
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 11/28/2022
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 11/28/2022
Previous Registration(s)
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IA
 06/16/2011 - 12/07/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 06/16/2011 - 12/07/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
IA
 09/06/2005 - 06/21/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
 09/06/2005 - 06/21/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
IA
 09/18/2003 - 08/29/2005 MORGAN STANLEY (CRD#:7556) LOS ANGELES, CA
B
 09/19/2002 - 08/29/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
IA
 07/24/2002 - 08/19/2002 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) GLENDALE, CA
B
 07/11/2002 - 08/19/2002 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 07/11/2002 - 08/19/2002 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.