Anna Yen Kim

Current Employers

Prudent Investors

22932 El Toro Rd., Lake Forest, CA 92630 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-07-08

CA RA
APPROVED

Since 2024-07-08

Branch Locations

Mission Viejo, CA • United States

22932 El Toro Rd., Lake Forest, CA 92630 • 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

Organization	City	State	From	To
Wla Designs	Mission Viejo	CA	03/2017	Present
Prudent Investors	Lake Forest	CA	05/2024	Present
Jupai Investment Group	Hong Kong		03/2016	09/2016
Epollo	Seoul		02/2018	03/2019
Self Employed	Hong Kong		10/2016	02/2017

03/2017 → Present

Wla Designs

Mission Viejo, CA
05/2024 → Present

Prudent Investors

Lake Forest, CA
03/2016 → 09/2016

Jupai Investment Group

Hong Kong
02/2018 → 03/2019

Epollo

Seoul
10/2016 → 02/2017

Self Employed

Hong Kong

Other Businesses

1. WLA Designs LLC; Partially Investment Related; 22758 Santa Margarita Pkwy #7024, Mission Viejo, CA 92691; Marketing and Financial Services Consulting; Owner; 3/2017; 10% of month devoted to business; 10 hours/month during securities trading hours; Provides financial copywriting services. 2. Down Syndrome Diagnosis Network (DSDN); Not Investment Related; PO Box 140 Stillwater, MN 55082; Finance & Investment Committee Chair/Treasurer; Start Date: 9/15/2024; 0 hrs/month during securities trading hours. 4 hours per month outside of securities trading hours; Strategic planning and oversight including financial and legal.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2003-10-28

S63 Uniform Securities Agent State Law Examination

2003-10-28

Designations

Other Names

Anna Yen Kim
Anna Yen
Anna Yen Kim
Anna Yen Kim

View on SEC IAPD