Mike Chinwoo Kim

CRD 1890376 · Wells Fargo Advisors · Rolling Hills Estates, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (22): Arizona · California · Colorado · District Of Columbia · Georgia · Hawaii · Iowa · Massachusetts · Mississippi · Missouri · Montana · Nevada · New Hampshire · North Carolina · Oregon · South Carolina · South Dakota · Tennessee · Texas · Virginia · Washington · Wyoming
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (12)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Rolling Hills Estates, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Rolling Hills Estates, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Rolling Hills Estates, CA · IA capacity

start not retrieved → present
Morgan Stanley & Co. Incorporated
Los Angeles, CA · IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
Los Angeles, CA · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
Los Angeles, CA · IA capacity

Oct 30, 1998 → Apr 2, 2007
Morgan Stanley Dw Inc.
Los Angeles, CA · BC capacity

Sep 23, 1998 → Apr 2, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Mar 14, 1990 → Sep 25, 1998
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Apr 22, 1989 → Mar 13, 1990
Equico Securities, Inc.
New York, NY · BC capacity

Apr 22, 1989 → Mar 13, 1990
The Prudential Insurance Company Of America
Newark, NJ · BC capacity

Feb 23, 1989 → Apr 8, 1989
Pruco Securities Corporation
Newark, NJ · BC capacity

Feb 23, 1989 → Apr 8, 1989

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1890376 ↗ FINRA BrokerCheck record for CRD 1890376 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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