Joanna Kim

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 09/2013 → 11/2018
  B Riley Capital Management, Llc
  New York, NY
• 11/2015 → 01/2019
  B Riley & Co, Llc
  New York, NY
• 11/2017 → 11/2018
  Fbr Capital Markets & Co.
  New York, NY
• 01/2019 → 12/2022
  Unfcu Advisors, Llc
  New York, NY
• 01/2019 → 08/2020
  Communityamerica Financial Solutions, Llc
  Lenexa, KS
• 01/2019 → 12/2022
  United Nations Federal Credit Union
  Long Island City, NY
• 12/2022 → Present
  Ameriprise Financial Services, Llc
  Sioux City, ID

Previous Registrations

• 2019-01-26 → 2020-08-20
  Unfcu Advisors Llc
  New York, NY
• 2015-11-20 → 2019-01-02
  B. Riley Capital Management
  New York, NY
• 2010-05-26 → 2012-02-27
  Ladenburg Thalmann Asset Management Inc
• 2007-04-24 → 2009-09-18
  Ladenburg Thalmann Asset Management Inc
  New York, NY
  New York, NY
• 2006-04-07 → 2007-03-14
  Citicorp Investment Services
  New York, NY

Other Businesses

Real Estate Ownership; co-op; 97-10 62nd Drive, Apt. 15B, , Rego Park, NY, 11374; Not Investment-Related; 07/01/2012. Outside Employment; International Home Care Services of New York; personal care assistant - providing care for my elderly mother once a week on Saturday; personal care of elderly parent; 9777 Queens Blvd, , Rego Park, NY, 11374; Not Investment-Related; 08/02/2021; 40 to 59 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2006-03-27

Other Names

• Joanna Kim
• Joanna Maria Sawruk-Kim
• Joanna M. Sawruk
• Joanna Maria Sawruk
• Joanna Maria Kim