Woong Kim

Current Employers

Employment History

• 07/2016 → 12/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 12/2019 → Present
  Royal Alliance Associates, Inc.
  Los Angeles, CA

Previous Registrations

• 2013-03-11 → 2019-12-18
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
• 2009-10-23 → 2013-02-15
  Equitable Advisors, Llc
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

1. NWF ADVISORY SERVICES POSITION: Investment Advisory Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 01/01/2020 ADDRESS: 11835 W. Olympic Blvd., 1155 East Tower, Los Angeles CA 90064, United States DESCRIPTION: To provide an advice-based approach to financial solutions for the clients and prospects Actively solicits new and existing investments and insurance solutions from mass affluent customer segment. Based on individualized needs analysis, prepares recommendations for customized financial solutions to current and potential customers. Profiles customers and deliver recommendations to ensure clients needs are met. Uses sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding of solutions. Delivers a diversified set of brokerage, investment and insurance and advice-based solutions with a financial planning mindset to meet the individualized investment needs of current and potential customers. Provides financial planning services by advising the customer on the advantages and disadvantages of different product decisions in alignment with their individual needs. Regularly reviews customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering), and KYC (Know Your Customer) requirements to protect bank interests. 2. WOONG KIM INSURANCE AGENT POSITION: Insurance agent NATURE: Sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2020 ADDRESS: 11835 W. Olympic Blvd., 1155 East Tower, Los Angeles CA 90064, United States DESCRIPTION: To provide insurance solutions for the clients and prospects Actively solicits new and existing investments and insurance solutions from mass affluent customer segment. Based on individualized needs analysis, prepares recommendations for customized financial solutions to current and potential customers. Profiles customers and deliver recommendations to ensure clients needs are met. Uses sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding of solutions. Delivers a diversified set of insurance and advice-based solutions with a financial planning mindset to meet the individualized investment needs of current and potential customers. Regularly reviews customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering), and KYC (Know Your Customer) requirements 3. ARTISANCAP DBA POSITION: Financial Professional NATURE: Artisancap is a DBA powered by/under NWF Advisory Group LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 50 START DATE: 05/13/2025 ADDRESS: 11835 W. Olympic Blvd, 1155 East Tower, Los Angeles CA 90064, United States DESCRIPTION: I am a financial professional marketing myself under the DBA Artisancap.

Exams

• S66 Uniform Combined State Law Examination
  2009-10-21

Designations

Other Names

• Woong Kim