Frank KimCRD Number: 1946186
Current Firm: Next Financial Group, Inc.
Frank Kim (CRD# 1946186) is an Investment Advisor Representative working at Next Financial Group, Inc. in Getzville, NY and has over 28 years of experience in the finance industry.
Level Financial Advisors, Inc.
Park Avenue Securities LLC
Linwood Investment Advisors Inc.
|Next Financial Group Inc.||Williamsville, NY||Apr 2007 - Current||10|
|Banc Of America Investment Services, Inc.||Buffalo, NY||Oct 2004 - Apr 2007||2|
|Banc Of America Insurance Services, Inc.||East Aurora, NY||Oct 2004 - Apr 2007||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1989|
|S65||NASAA Investment Advisors Law Examination||Mar 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Judgments / Liens
Total Assets Under Management1,564MILLIONS
Total Number of Accounts8,116ACCOUNTS
Average Account Value$192,726
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV