DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Steve Cheol Kim

LPL Financial LLCBD affiliatedArcadia, Cadual registrantIAPD 4537269

Feed of 09/14/2026

Also filed as Steven Cheol Kim

At current firm

1 y

since Jun 5, 2025

In the industry

24 y

since Jul 22, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jun 5, 2025 · Arcadia, Ca
Western International Securities former
Nov 28, 2022 to Jun 5, 2025 · Pasadena, Ca
UBS Financial Services Inc. wirehouse
Jun 16, 2011 to Dec 7, 2022 · Pasadena, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 6, 2005 to Jun 21, 2011 · Los Angeles, Ca
Morgan Stanley Dw Inc. unclassified
Sep 18, 2003 to Aug 29, 2005 · Los Angeles, Ca
Ameriprise Financial Services, LLC national BD
Jul 24, 2002 to Aug 19, 2002 · Glendale, Ca

Moves

a registration end followed by a registration begin elsewhere

Western International Securities to LPL Financial LLC
left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
UBS Financial Services Inc. to Western International Securities
left Dec 7, 2022, registered Nov 28, 2022 (-9 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Jun 21, 2011, registered Jun 16, 2011 (-5 days) · Wirehouse to wirehouse
Morgan Stanley Dw Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Aug 29, 2005, registered Sep 6, 2005 (8 days) · Other
Ameriprise Financial Services, LLC to Morgan Stanley Dw Inc.
left Aug 19, 2002, registered Sep 18, 2003 (395 days) · Other

Signals

Steve Cheol Kim left Ubs Financial Services Inc. for Western International Securities (registered 2022-11-28)
Dec 7, 2022 · Advisor changed firm · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address