Thomas Jung Jin Kim

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 08/1994 → Present
  Osaic Wealth, Inc.
  Seal Beach, CA
• 01/1997 → Present
  Regal Advisory Services, Inc.
  Seal Beach, CA

Previous Registrations

• 1998-01-06 → 2026-03-06
  Regal Advisory Services, Inc.
  Seal Beach, CA
  Woodland Hills, CA

Other Businesses

1. REGAL ADVISORY SERVICES., INVESTMENT RELATED, 12501 SEAL BEACH BL #280, SEAL BEACH CALIF 90740, REPRESENTATIVE, STARTED 01/01/1997, LESS THAN 5 HOURS PER MONTH, LESS THAN 5 HOURS PER MONTH DURING STH, SALES OF FIXED AND VARIABLE ANNUITIES. 2. REGAL ADVISORY SERVICES, INVESTMENT RELATED, 12501 SEAL BEACH BL #280, SEAL BEACH CALIF 90740, REPRESENTATIVE, STARTED 1/1/1997, 20 HOURS PER MONTH, 20 HOURS PER MONTH DURING STH, INVESTMENT ADVISORY ACTIVITIES. 3. REGAL ADVISORY SERVICES, ROYAL ALLIANCE ASSOCIATES/ CORPORATE & INDEPENDENT REGISTERED INVESTMENT ADVISOR , INVESTMENT RELATED, 12501 SEAL BEACH BL #280, SEAL BEACH CA 90740, FINANCIAL PLANNER, STARTED 1/1/1998, 80 HOURS PER MONTH, 80 HOURS PER MONTH DURING STH, PROVIDE FINANCIAL PLANNING AND INVESTMENT ADVICE. 4.KM FINANCIAL INC, NON INVETMENT RELATED, 12501 SEAL BEACH BL #280 SEAL BEACH CA 90740, OWNER, STARTED 4/1/2004, 0 HOURS PER MONTH, 0 HOURS DURING STH, CORPORATION SETUP FOR GROUP EMPLOYEE HEALTH CARE BENEFITS. 5.TJK FINANCIAL INC, NON INVESTMENT RELATED, 12501 SEAL BEACH BL #280 SEAL BEACH CA 90740, OWNER, STARTED 2/1/2010, 0 HOURS PER MONTH, 0 HOURS DURING STH, CORPORATION SETUP FOR FLOW THRU OF BUSINESS GENERATED FROM REGAL ADVISORY SERVICES AND ROYAL ALLIANCE ASSOCIATES 2. TJK FINANCIAL POSITION: CEO NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 5959 Topanga Canyon Bl #180, Woodland Hills CA 91367, United States DESCRIPTION: This is a Flow-through S-Corp where I transfer my fee/commission for tax purpose only. 3. REGAL ADVISORY SERVICES POSITION: Other - Agent NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1997 ADDRESS: 5959 Topanga Canyon Bl #180, Woodland Hills CA 91367, United States DESCRIPTION: Sales of fixed and variable annuities

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-11-24

Other Names

• Thomas Jung Kim
• Jung Jin Kim
• Thomas Kim