Individual Firm
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William Woo Kim
WILL W KIM, WILL KIM, WILLIAM W KIM, WILLIAM WOO KIM, WILLIAM KIM…
CRD#: 6015728
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 5075 SHOREHAM PL
ST 280
SAN DIEGO, CA 92122
ST 280
SAN DIEGO, CA 92122
CETERA ADVISOR NETWORKS LLCCRD#: 13572 5075 Shoreham Place
Suite 280
San Diego, CA 92122
Suite 280
San Diego, CA 92122
0
Disclosures
12
Years of Experience
View By:
State Registrations
B
Arizona 10/19/2023
B
Nevada 1/15/2025
B
California 8/10/2023
B
Texas 7/30/2024
IA
California 8/10/2023
IA
Texas 7/31/2024
B
Colorado 2/7/2025
B
Virginia 8/28/2023
SRO Registrations
B
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IA
Registered with this firm since 8/10/2023
B
Registered with this firm since 8/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2021 - 08/10/2023 | San Diego, CA | |
B | 10/04/2021 - 08/10/2023 | San Diego, CA | |
IA | 10/03/2019 - 03/31/2021 | RANCHO SANTE FE, CA | |
B | 08/20/2019 - 03/31/2021 | RANCHO SANTE FE, CA | |
B | 10/01/2012 - 07/09/2019 | RANCHO SANTA FE, CA | |
B | 02/13/2012 - 10/01/2012 | RANCHO SANTA FE, 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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.