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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

SEERIA KIM

Advisor at CHARLES SCHWAB & CO., INC.

Scottsdale, AZ | Phoenix, AZ

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Search this name across graphsid dfx:ria:03a86841-87da-870b-b6cd-6cbdafc0b147

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 12, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 12, 2007
First registration: Jun 13, 2007
Dual registered: yes, broker-dealer
Other names: SUA KIM
IAPD individual key: 5247708

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 19, 2023	n/a	yes	Scottsdale, AZ\|Phoenix, AZ	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 18, 2009	Sep 7, 2023	no	LAS VEGAS, NV\|PASADENA, CA\|Phoenix, AZ\|Scottsdale, AZ\|Phoenix, AZ\|Scottsdale, AZ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 18, 2009	Oct 14, 2022	no	LAS VEGAS, NV\|Pasadena, CA\|Phoenix, AZ\|Scottsdale, AZ\|Scottsdale, AZ\|Phoenix, AZ\|Scottsdale, AZ	Previous registration
WADDELL & REED	Former SEC adviser	Aug 13, 2008	Jul 17, 2009	no	LAS VEGAS, NV	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 13, 2007	Aug 8, 2008	no	HENDERSON, NV	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Apr 19, 2023	-141	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Aug 18, 2009	-4,805	Bulk transfer	Other
WADDELL & REED	TD AMERITRADE, INC.	Jul 17, 2009	Aug 18, 2009	32	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WADDELL & REED	Aug 8, 2008	Aug 13, 2008	5	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Apr 19, 2023 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 18, 2009 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 18, 2009 to Oct 14, 2022factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Aug 13, 2008 to Jul 17, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 13, 2007 to Aug 8, 2008factForm ADV

Dated events

No dated event names this entity yet.