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Ray Kim

Westpark Capital, INC.
21 Years of Experience
Irvine, CA
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Ray Kim is a registered investment advisor at Westpark Capital, INC., based in Irvine, CA, with 21 years of industry experience. Ray is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 265 clients with $53M in assets under management.

Westpark Capital, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
11 advisors
Number of Clients
265 clients
Average Client Portfolio
$200K average
Assets Under Management
$53.1M

Fee Structure

Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.75%

Annual asset-based fees range from 0.25% to 2.75% depending on account size and the selected third-party manager program.

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

Location

2030 Main Street, Suite 210, Irvine, CA, 92614

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History

Regulatory History (4)
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
November 2011
Settled
Customer Dispute
May 2009
Closed-No Action
Employment Separation After Allegations
June 2005
Criminal
October 1989
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ray is a VP/Insurance Agent at Diligent Insurance Group since 2007, dedicating nearly full-time hours to this role. He also serves as an advisory committee member for UCI's Personal Financial Planning Certificate Program, spending minimal time on this activity.

Employment History
Current Registrations
Westpark Capital, INC.
May 2018 - Present · 8 yrs 5 mos
Westpark Capital, INC.Broker
May 2018 - Present · 8 yrs 5 mos
Previous Registrations
Newport Coast Securities, INC.Broker
May 2010 - September 2016 · 6 yrs 4 mos
Newport Coast Asset Management
May 2010 - September 2016 · 6 yrs 4 mos
Private Asset Advisors, INC.
May 2007 - May 2010 · 3 yrs
Private Asset Group, INC.Broker
May 2007 - April 2010 · 2 yrs 11 mos
Burch & Company, INCBroker
May 2007 - May 2007 · 0 mos
Scf Securities, INC.Broker
November 2006 - June 2007 · 7 mos
Scf Investment Advisors, INC.
November 2006 - June 2007 · 7 mos
American Express Financial Advisors, INC.
May 2002 - June 2005 · 3 yrs 1 mo
American Express Financial Advisors INC.Broker
April 2002 - June 2005 · 3 yrs 2 mos
Ids Life Insurance CompanyBroker
April 2002 - June 2005 · 3 yrs 2 mos
C.K. Cooper & Company, INC.Broker
September 2001 - March 2002 · 6 mos
State Registrations2 states
CAOK
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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