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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

ALBERT D KIM

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MOUNT LAUREL, NJ | Blackwood, NJ

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Search this name across graphsid dfx:ria:806b6046-db1e-fe76-ef5d-57a4e9e1f150

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 13, 2010 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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 10, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Sep 10, 2010
First registration: Sep 13, 2010
Dual registered: yes, broker-dealer
Other names: ALBERT KIM|ALBERT DANIEL KIM
IAPD individual key: 5676721

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 18, 2014	n/a	yes	Blackwood, NJ\|MOUNT LAUREL, NJ	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jan 18, 2013	no	EMERSON, NJ	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 24, 2011	Oct 1, 2012	no	EMERSON, NJ	Previous registration
EDWARD JONES	National bd RIA	Sep 13, 2010	Mar 4, 2011	no	ST LOUIS, MO\|VILLANOVA, PA\|Wynnewood, PA	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
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 18, 2013	Mar 18, 2014	424	Firm change after gap	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Mar 4, 2011	May 24, 2011	81	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Mar 18, 2014 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jan 18, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 24, 2011 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 13, 2010 to Mar 4, 2011factForm ADV

Dated events

No dated event names this entity yet.