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Seeria Kim

Charles Schwab & Co., Inc.

Scottsdale, AZ

Phoenix, AZ

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-25
AZ RA APPROVED 2023-04-19
  • TX RA
    APPROVED_RES
    Since 2023-05-25
  • AZ RA
    APPROVED
    Since 2023-04-19

Branch Locations

20301 North Hayden Road Suite E115, Scottsdale, AZ 85255-5454 • United States

6350 N. 24Th Street, Phoenix, AZ 85016 • 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
Td Ameritrade Scottsdale AZ 07/2009 06/2024
Charles Schwab & Co., Inc Phoenix AZ 10/2022 Present
Charles Schwab Bank, Ssb Phoenix AZ 10/2022 Present
  • 07/2009 → 06/2024
    Td Ameritrade
    Scottsdale, AZ
  • 10/2022 → Present
    Charles Schwab & Co., Inc
    Phoenix, AZ
  • 10/2022 → Present
    Charles Schwab Bank, Ssb
    Phoenix, AZ
Previous Registrations
  • 2009-08-18 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Las Vegas, NV
    Pasadena, CA
    Phoenix, AZ
    Scottsdale, AZ
    Phoenix, AZ
    Scottsdale, AZ
  • 2009-08-18 → 2022-10-14
    Td Ameritrade, Inc.
    Las Vegas, NV
    Pasadena, CA
    Phoenix, AZ
    Scottsdale, AZ
    Scottsdale, AZ
    Phoenix, AZ
    Scottsdale, AZ
  • 2008-08-13 → 2009-07-17
    Waddell & Reed
    Las Vegas, NV
  • 2007-06-13 → 2008-08-08
    Ameriprise Financial Services, Llc
    Henderson, NV
Other Businesses

1) Seeria Kim | Investment Related:No|7629 sweet mist ave|las vegas|nv|89178|usa|Real Estate (Non-Agent/Broker)|landlord|12/30/2022|Less than 20|0|collecting rent

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-12
  • S66 Uniform Combined State Law Examination
    2007-06-12
Other Names
  • Sua Kim

View on SEC IAPD

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BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

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