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David Daejoon Kim

M3 Asset Management, Inc.

Pasadena, CA

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Current Employers
M3 Asset Management, Inc.

595 E. Colorado Boulevard Suite 504, Pasadena, CA 91101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-01-03
  • CA RA
    APPROVED
    Since 2014-01-03

Branch Locations

595 E. Colorado Boulevard Suite 504, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
M3 Asset Management, Inc. Los Angeles CA 01/2014 Present
Previous Registrations
  • 2012-12-07 → 2014-01-07
    Wells Fargo Clearing Services, Llc
    Los Angeles, CA
    Los Angeles, CA
    El Segundo, CA
  • 2009-06-01 → 2012-12-12
    Morgan Stanley
    Los Angeles, CA
    Los Angeles, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Los Angeles, CA
  • 2005-09-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2001-06-15 → 2005-09-22
    Ubs Financial Services Inc.
    Los Angeles, CA
Other Businesses

Daejoon "David" Kim is a licensed insurance agent (License # 0D29772). The business address is 595 E. Colorado Boulevard, Suite 504, Pasadena, CA 91101.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-15
S63 Uniform Securities Agent State Law Examination 2001-05-11
  • S65 Uniform Investment Adviser Law Examination
    2001-08-15
  • S63 Uniform Securities Agent State Law Examination
    2001-05-11
Other Names
  • Daejoon Kim

View on SEC IAPD

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Jaymie BRIAN Wetzel
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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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