Richard Kim is a registered investment advisor, based in Los Angeles, CA, with 5 years of industry experience.
Location
3731 Wilshire Blvd, Suite 612, Los Angeles, CA, 90010
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Dfpg Investments, LLC
December 2024 - Present · 1 yr 7 mos
Dfpg Investments, LLCBroker
December 2024 - Present · 1 yr 7 mos
Diversify Advisory Services, LLC
September 2023 - Present · 2 yrs 10 mos
Previous Registrations
Dfpg Investments, LLC
August 2023 - January 2024 · 5 mos
Dfpg Investments, LLCBroker
August 2023 - September 2023 · 1 mo
M. S. Howells & CO.Broker
November 2020 - May 2023 · 2 yrs 6 mos
State Registrations2 states
CANJ
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.