J•••• H•• K••

L•• F•••••••• L••BD affiliatedGranite Bay, Cadual registrantIAPD 4406438

Feed of 09/14/2026

Also filed as John Han Kim

At current firm

1 y

since Oct 31, 2024

In the industry

25 y

since Jul 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Oct 31, 2024 · Granite Bay, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Nov 6, 2024 · Concord, Ca
C••••• A•••••• N••••••• L•• former
Jul 14, 2020 to Jun 29, 2023 · Livermore, Ca
W•••• F•••• A••••••• wirehouse
Mar 21, 2013 to Jul 21, 2020 · Concord, Ca
U••• B•••••• I••••••••• I••• former
Jan 12, 2010 to Mar 22, 2013 · Castro Valley, Ca
C•••• I••••••••• S••••••• C•••• former
May 2, 2009 to Dec 14, 2009 · Hayward, Ca
W••• I••••••••• I••• unclassified
Jun 16, 2008 to May 2, 2009 · San Lorenzo, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Nov 6, 2024, registered Oct 31, 2024 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C••••• A•••••• N••••••• L••
left Jul 21, 2020, registered Jul 14, 2020 (-7 days) · Wirehouse to affiliated broker-dealer or bank
U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••
left Mar 22, 2013, registered Mar 21, 2013 (-1 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Dec 14, 2009, registered Jan 12, 2010 (29 days) · Other
W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move

Signals

J•••• H•• K•• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-10-31)
Nov 6, 2024 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address