Sun Joo Kim

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-08-30
CA	RA	APPROVED	2022-08-26

TX RA
APPROVED

Since 2022-08-30
CA RA
APPROVED

Since 2022-08-26

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

555 Capitol Mall, Sacramento, CA 95814 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Sacramento	CA	01/2014	Present

01/2014 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sacramento, CA

Other Businesses

I*1501262 For profit or not for profit: Name of outside business organization: All Asset Property Management Investment related: N Address of business: Roseville, California, 95678 Nature of business: ["Business or Industry Organization"] Position, title, association: ["Employee"], Start date of relationship: 10/1/2023 Number of hours devoted: 10 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Data Entry and administrative tasks like filing paperwork General Notes: No conflict with policy. Part-time job.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-07-25

S66 Uniform Combined State Law Examination

2022-07-25

View on SEC IAPD