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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

SONG BO SHIM

Advisor at OSAIC INSTITUTIONS, INC.

Harrisburg, PA

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Search this name across graphsid dfx:ria:df37e2fe-bf49-bc71-0366-189d880cc41b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 2, 2014 to Sep 14, 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: OSAIC INSTITUTIONS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 21, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Aug 21, 2012
First registration: Jun 2, 2014
Dual registered: yes, broker-dealer
Other names: SONG SIM|SONG B SIM|SONJRO SIM|SONG BO SIM
IAPD individual key: 6102187

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
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	May 30, 2024	n/a	yes	Harrisburg, PA	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Apr 1, 2024	Apr 4, 2024	no	Harrisburg, PA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Feb 1, 2016	May 28, 2024	no	HARRISBURG, PA\|HARRISBURG, PA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Oct 1, 2015	Jan 8, 2016	no	HARRISBURG, PA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 2, 2014	Jul 29, 2015	no	CERRITOS, CA	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
CETERA INVESTMENT ADVISERS LLC	OSAIC INSTITUTIONS, INC.	May 28, 2024	Apr 1, 2024	-57	Firm change after gap	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	CETERA INVESTMENT ADVISERS LLC	Jan 8, 2016	Feb 1, 2016	24	Firm change	Other
J.P. MORGAN SECURITIES LLC	CUSO FINANCIAL SERVICES, L.P.	Jul 29, 2015	Oct 1, 2015	64	Firm change	Other

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Apr 1, 2024 to Apr 4, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Feb 1, 2016 to May 28, 2024factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Oct 1, 2015 to Jan 8, 2016factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jun 2, 2014 to Jul 29, 2015factForm ADV

Dated events

Occurred
May 28, 2024
Advisor changed firm
Song Bo Shim left Cetera Investment Advisers Llc for Osaic Institutions, Inc. (registered 2024-04-01)
Form ADVobserved 5 days ago