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Richard Kim

J.P. Morgan Securities LLC
20 Years of Experience
Huntington Beach, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Richard Kim is a registered investment advisor at J.P. Morgan Securities LLC, based in Huntington Beach, CA, with 20 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7830 Edinger Avenue, Huntington Beach, CA, 92647

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2013
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLC
July 2019 - Present · 7 yrs 3 mos
J.P. Morgan Securities LLCBroker
July 2019 - Present · 7 yrs 3 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
May 2014 - July 2019 · 5 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
May 2014 - July 2019 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2011 - May 2014 · 3 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2010 - May 2014 · 3 yrs 5 mos
Banc of America Investment Services, INC.Broker
May 2005 - November 2006 · 1 yr 6 mos
Banc of America Investment Services, INC.Broker
August 2000 - April 2004 · 3 yrs 8 mos
State Registrations19 states
AZCAFLGAINMAMDMINJNVNYOHSCTNTXVAWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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