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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

KYONG H KIM

Advisor at CETERA INVESTMENT ADVISERS LLC

Firestone, CO

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Search this name across graphsid dfx:ria:e3602207-ea5c-291a-33cc-d70e725a85e7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2001 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: CETERA INVESTMENT ADVISERS LLC
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: Jul 21, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 21, 1994
First registration: Jan 2, 2001
Dual registered: yes, broker-dealer
Other names: KYONG HEE KIM|KYONG KIM
IAPD individual key: 2510032

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	Firestone, CO	Current employment
COLORADO FINANCIAL SERVICE CORPORATION	Former SEC adviser	Jul 9, 2012	Jun 4, 2015	no	CENTENNIAL, CO	Previous registration
BROOKSTONE INVESTMENT ADVISORY SERVICES	Former SEC adviser	Mar 9, 2010	Jun 20, 2012	no	LAKELAND, FL\|LAKELAND, FL	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Oct 17, 2006	Mar 1, 2010	no	GREENWOOD VILLAGE, CO	Previous registration
OLD MUTUAL CAPITAL	Former SEC adviser	Apr 19, 2006	Oct 2, 2006	no	DENVER, CO	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Dec 5, 2002	Mar 22, 2006	no	TAMPA, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 2, 2001	Aug 22, 2002	no	CLEARWATER, FL	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
COLORADO FINANCIAL SERVICE CORPORATION	CETERA INVESTMENT ADVISERS LLC	Jun 4, 2015	Jun 29, 2023	2,947	Firm change after gap	Other
BROOKSTONE INVESTMENT ADVISORY SERVICES	COLORADO FINANCIAL SERVICE CORPORATION	Jun 20, 2012	Jul 9, 2012	19	Firm change	Other
CETERA ADVISORS LLC	BROOKSTONE INVESTMENT ADVISORY SERVICES	Mar 1, 2010	Mar 9, 2010	8	Firm change	Other
OLD MUTUAL CAPITAL	CETERA ADVISORS LLC	Oct 2, 2006	Oct 17, 2006	15	Firm change	Other
GUNNALLEN FINANCIAL, INC	OLD MUTUAL CAPITAL	Mar 22, 2006	Apr 19, 2006	28	Firm change	Other
WELLS FARGO ADVISORS	GUNNALLEN FINANCIAL, INC	Aug 22, 2002	Dec 5, 2002	105	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ COLORADO FINANCIAL SERVICE CORPORATIONRegistered adviserregistration: previous registration
Jul 9, 2012 to Jun 4, 2015factForm ADV
→ BROOKSTONE INVESTMENT ADVISORY SERVICESRegistered adviserregistration: previous registration
Mar 9, 2010 to Jun 20, 2012factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Oct 17, 2006 to Mar 1, 2010factForm ADV
→ OLD MUTUAL CAPITALRegistered adviserregistration: previous registration
Apr 19, 2006 to Oct 2, 2006factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Dec 5, 2002 to Mar 22, 2006factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 2, 2001 to Aug 22, 2002factForm ADV

Dated events

No dated event names this entity yet.