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Detailed Report
JUDY NAEEUN KIM
JUDY NAE-EUN LEE, NAE-EUN JUDY LEE
CRD#: 4895973
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 780 Roosevelt Ste 214
Irvine, CA 92620
Registration History
20062008201020122014201620182020202220242026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2006 - Present (18 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2005 - Present (20 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2005 - 2006 (1 year)
License(s)

State Registrations

B
Arizona 9/3/2021
B
Michigan 5/18/2023
B
California 2/8/2006
B
New York 11/16/2015
IA
California 5/15/2006
B
Oregon 1/7/2020
B
Hawaii 9/11/2018
B
Washington 9/27/2021
B
Massachusetts 6/10/2005

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
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
780 Roosevelt Ste 214, Irvine, CA 92620
irvine, CA
Registered with this firm since 5/15/2006
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
780 Roosevelt Ste 214, Irvine, CA 92620
irvine, CA
Registered with this firm since 3/24/2005
Previous Registration(s)
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B
 03/24/2005 - 07/03/2006 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.