Individual Firm
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CHARLIE KIM
CRD#: 5806486
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 1845 E. WASHINGTON BLVD
PASADENA, CA 91104
PASADENA, CA 91104
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1/19/2016
Customer Dispute
Denied
3/18/2015
Customer Dispute
Closed-No Action
State Registrations
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Arizona 6/6/2013
B
Nevada 5/22/2017
B
Arkansas 7/2/2013
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New York 2/5/2014
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California 3/11/2013
B
North Carolina 5/15/2018
B
California 3/12/2013
B
Ohio 11/28/2018
B
Colorado 5/11/2017
B
Oregon 10/13/2014
B
Florida 2/7/2017
B
Pennsylvania 2/12/2019
B
Georgia 2/5/2014
B
Tennessee 6/14/2018
B
Idaho 1/6/2021
B
Texas 11/9/2020
B
Illinois 1/31/2017
IA
Texas 11/10/2020
B
Louisiana 2/10/2016
B
Utah 12/12/2017
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Massachusetts 3/28/2016
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Virginia 9/4/2013
B
Michigan 2/26/2015
B
Washington 11/19/2021
B
Missouri 9/23/2016
B
Wisconsin 7/11/2017
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/11/2013
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Registered with this firm since 3/11/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2010 - 03/13/2013 | SHERMAN OAKS, CA | |
B | 09/09/2010 - 03/13/2013 | SHERMAN OAKS, CA |
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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.
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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.