Jeong Han Kim

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Walnut Creek, CA
• 11/2016 → 07/2020
  Wells Fargo Clearing Services, Llc
  Walnut Creek, CA
• 07/2020 → 10/2024
  Cetera Advisor Networks Llc
  El Segundo, CA
• 06/2023 → 10/2024
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 10/2024 → Present
  Lpl Financial
  Granite Bay, CA

Previous Registrations

• 2023-06-29 → 2024-11-06
  Cetera Investment Advisers Llc
  Concord, CA
• 2020-07-14 → 2023-06-29
  Cetera Wealth Services, Llc
  Livermore, CA
  Granite Bay, CA
• 2013-03-21 → 2020-07-21
  Wells Fargo Clearing Services, Llc
  Concord, CA
  Walnut Creek, CA
  Pleasanton, CA
  Walnut Creek, CA
  Dublin, CA
• 2010-01-12 → 2013-03-22
  U.S. Bancorp Investments, Inc.
  Castro Valley, CA
  Hayward, CA
  Union City, CA
  Hayward, CA
  Hayward, CA
  Hayward, CA
  Hayward, CA
• 2009-05-02 → 2009-12-14
  Chase Investment Services Corp.
  Hayward, CA
• 2008-06-16 → 2009-05-02
  Wamu Investments, Inc.
  San Lorenzo, CA
  Union City, CA
  Dublin, CA
  Hayward, CA
  San Leandro, CA
  Los Angeles, CA
  Los Angeles, CA
  Hayward, CA
  Tiburon, CA
  Greenbrae, CA
  Corte Madera, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-14
• S63 Uniform Securities Agent State Law Examination
  2001-07-20

Other Names

• John Han Kim
• John Han Kim