Unclaimed Profile

David Daejoon Kim

M3 ASSET MANAGEMENT, INC.·LOS ANGELES, California

Series 7, Series 63, Series 6525 years registeredM3 ASSET MANAGEMENT, INC.

3731 WILSHIRE BOULEVARD, LOS ANGELES, CA 90010CRD# 4351580Firm CRD# 169461

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Daejoon Kim · LOS ANGELES, CA

Registration

CRD #4351580 · M3 ASSET MANAGEMENT, INC. · 25 years registered

Brand Profile

Not yet started

Career History

M3 ASSET MANAGEMENT, INC.

Jan 2014 – present

WELLS FARGO ADVISORS, LLC

Dec 2012 – Jan 2014

LOS ANGELES, CA

MORGAN STANLEY

Jun 2009 – Dec 2012

LOS ANGELES, CA

MORGAN STANLEY & CO. INCORPORATED

Apr 2007 – Jun 2009

LOS ANGELES, CA

MORGAN STANLEY

Sep 2005 – Apr 2007

LOS ANGELES, CA

UBS FINANCIAL SERVICES INC.

Jun 2001 – Sep 2005

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · June 15, 2001

Years registered · 25

Disclosure History

2008Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

M3 ASSET MANAGEMENT, INC.

CRD 169461 · SEC 801-78863

AUM

$36M

Regulatory assets under management

Employees

113 client accounts

Services offered by M3 ASSET MANAGEMENT, INC.

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at M3 ASSET MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does David Daejoon Kim offer?

David Daejoon Kim specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in LOS ANGELES, California for a consultation.

What are David Daejoon Kim's credentials?

David Daejoon Kim is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Daejoon Kim located?

David Daejoon Kim is based in LOS ANGELES, California, working with M3 ASSET MANAGEMENT, INC.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.

How does David Daejoon Kim charge for services?

David Daejoon Kim's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is M3 ASSET MANAGEMENT, INC.?

M3 ASSET MANAGEMENT, INC. has approximately 1 employees and manages $36M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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