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Paul Kim

Stifel, Nicolaus & Company, Incorporated

San Jose, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-08-22
  • CA RA
    APPROVED
    Since 2018-08-22

Branch Locations

550 S Winchester Blvd Suite 500, San Jose, CA 95128 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley Cupertino CA 06/2009 07/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2018
Stifel Nicolaus San Francisco CA 08/2018 Present
  • 06/2009 → 07/2018
    Morgan Stanley
    Cupertino, CA
  • 01/2015 → 07/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 08/2018 → Present
    Stifel Nicolaus
    San Francisco, CA
Previous Registrations
  • 2009-06-01 → 2018-08-15
    Morgan Stanley
    Cupertino, CA
  • 2008-02-01 → 2009-06-01
    Morgan Stanley & Co. Llc
    Cupertino, CA
  • 2003-12-18 → 2008-02-01
    Wells Fargo Investments, Llc
    South San Francisco, CA
    Palo Alto, CA
    South San Francisco, CA
    Palo Alto, CA
    Half Moon Bay, CA
  • 2002-06-05 → 2003-12-15
    Ubs Financial Services Inc.
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-24
S63 Uniform Securities Agent State Law Examination 2001-03-29
  • S66 Uniform Combined State Law Examination
    2002-05-24
  • S63 Uniform Securities Agent State Law Examination
    2001-03-29
Other Names
  • Paul Kangsuk Kim

View on SEC IAPD

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