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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Taeeon Kim

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DALLAS, TX | Allen, TX

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Search this name across graphsid dfx:ria:ca1ae8a1-1c2c-e6db-51f9-0fb295ce9949

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 6, 2005 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: Mar 12, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Mar 12, 1999
First registration: May 6, 2005
Dual registered: yes, broker-dealer
Other names: STEVEN T KIM
IAPD individual key: 3181444

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	Jun 16, 2016	n/a	yes	DALLAS, TX\|Allen, TX	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 13, 2009	Jul 5, 2016	no	SAN DIEGO, CA\|BAYSIDE, NY\|NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Oct 29, 2009	no	NEW YORK, NY\|LONG ISLAND CITY, NY\|NEW YORK, NY\|BAYSIDE, NY	Previous registration
CITICORP INVESTMENT SERVICES	n/a	May 6, 2005	May 29, 2007	no	BAYSIDE, NY\|BAYSIDE, NY	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
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 5, 2016	Jun 16, 2016	-19	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	LPL FINANCIAL LLC	Oct 29, 2009	Oct 13, 2009	-16	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 16, 2016 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 13, 2009 to Jul 5, 2016factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Oct 29, 2009factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
May 6, 2005 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.