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Janet B Kim

Morgan Stanley

Rolling Hills Estates, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-10-25
TX RA APPROVED 2021-10-25
  • CA RA
    APPROVED
    Since 2021-10-25
  • TX RA
    APPROVED
    Since 2021-10-25

Branch Locations

609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Rolling Hills Estates CA 06/2009 Present
Other Businesses

*480049 - POA ; Investment related - Yes; Torrance, California; 08/2018; During business hours: 0; After business hours: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-23
S63 Uniform Securities Agent State Law Examination 2006-06-28
  • S65 Uniform Investment Adviser Law Examination
    2021-10-23
  • S63 Uniform Securities Agent State Law Examination
    2006-06-28
Other Names
  • Bom Nai Kim

View on SEC IAPD

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Other Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO CLEARING SERVICES, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
LPL FINANCIAL LLC · RANCHO PALOS VERDES, CA
RAYMOND JAMES & ASSOCIATES, INC. · ROLLING HILLS ESTATES, CA
RBC CAPITAL MARKETS, LLC · Rolling Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING HILLS ESTATES, CA

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