Charles Kim

CRD 2750217 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Paramus, NJ

IA RegisteredBroker

Also appears in the source record as: Charles Kong Kim

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 7TOSIESeries 55Series 7
Registered states (21): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Iowa · Maine · Maryland · Massachusetts · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Dakota · Texas · Vermont · Virginia
Years in the industry (source record): 30
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: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Paramus, NJ · IA capacity

Nov 4, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Paramus, NJ · BC capacity

start not retrieved → present
Nylife Securities LLC
BD capacity

Dec 12, 2019 → Sep 11, 2020
Worldco, L.L.C.
BD capacity

May 29, 2003 → Jul 31, 2003
Schonfeld Securities, LLC
BD capacity

Sep 6, 2002 → Apr 10, 2003
Worldco, L.L.C.
BD capacity

May 6, 2002 → Sep 17, 2002
Andover Brokerage, L.L.C.
BD capacity

Oct 31, 2001 → May 1, 2002
Heartland Securities Corp.
BD capacity

Jun 14, 1999 → Oct 19, 2001
Gruntal & Co., L.L.C.
BD capacity

Dec 9, 1997 → Oct 27, 1998
Continental Broker-Dealer Corp.
BD capacity

Aug 12, 1996 → Aug 19, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2750217 ↗ FINRA BrokerCheck record for CRD 2750217 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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