Last Updated: June 2024 (Dulles, VA)
Kyle Kim Investigation Summary
Here’s what you need to know about Dulles, VA, stockbroker Kyle Kim:
- Name: Kyle Joon Kim
- Current Employer: The Leaders Group Inc.
- DBA: The Private Client Advisory Group
- Previous Firms: LPL Financial, Invest Financial
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Kyle Kim, Kyo Kim
- Primary Location: Dulles, VA
- CRD 2446395
- Can Kyle Kim be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by Prior Employer: Yes
- Discloses outstanding tax lien: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kyle Kim As Your Stockbroker?
In 5/2024 LPL Financial discharged Kyle Kim for participating in outside business activities without notice to and approval from the firm. Kim had been registered with LPL Financial since 2018.
FINRA Rule 3270 prohibits registered representatives from engaging in outside business activities without first obtaining permission from the employing firm.
Kyle Kim discloses a currently outstanding IRS tax lien for tax period 2016 of $49,895, filed 1/14/2020 with the Clerk of the Court Loudoun County, VA.
Allegations of Broker Misconduct Against Kyle Kim
LPL Financial alleged the following wrongdoing in connection with his employment, resulting in discharge:
- Participating in an Outside Business Activity without permission of the firm
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Kyle Kim, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.