John Im, financial advisor Napa CA
93 score

John Im

CRD Number: 3074173
Current Firm: Morgan Stanley

John Im (CRD# 3074173) is an Investment Advisor Representative working at Morgan Stanley in Napa, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Napa, CA Jun 2014 - Current 2
Dowse Securities Management Corp Napa, CA Feb 2013 - Jun 2014 1
Valic Financial Advisors Inc. Lakewood, CO Jan 2011 - Feb 2013 2
Unemployeed Highlands Ranch, CO Oct 2010 - Jan 2011 < 1
Prosperitas LLC Lakewood, CO Oct 2006 - Oct 2010 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1998
S66 NASAA Uniform Combined State Law Examination Feb 2011
Contact Info for John M. Im
Phone Number: 914-225-5510
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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