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Yong Son Kim

Vanguard Advisers, Inc.

Scottsdale, AZ

CRD 4764751

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Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

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

Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2019-12-03
TX RA APPROVED 2019-12-02
  • AZ RA
    APPROVED
    Since 2019-12-03
  • TX RA
    APPROVED
    Since 2019-12-02

Branch Locations

14321 N Northsight Blvd, Scottsdale, AZ 85260 • 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
Randstad Us Scottsdale AZ 11/2014 09/2016
The Vanguard Group, Inc. Scottsdale AZ 09/2016 Present
Self Employed Glendale AZ 03/2022 Present
  • 11/2014 → 09/2016
    Randstad Us
    Scottsdale, AZ
  • 09/2016 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 03/2022 → Present
    Self Employed
    Glendale, AZ
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: Self employed NON-INVESTMENT RELATED ADDRESS (City/State): Glendale, AZ NATURE OF BUSINESS: Drone POSITION: Pilot START DATE: 3/2022 APPROX. HOURS/MONTH: 40 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Pilot

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-12
S63 Uniform Securities Agent State Law Examination 2015-05-19
  • S66 Uniform Combined State Law Examination
    2019-11-12
  • S63 Uniform Securities Agent State Law Examination
    2015-05-19
Other Names
  • Randy Kim
  • Yong S Kim

View on SEC IAPD

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