Career
Alex Kim has been Deputy Compliance Officer of Signature Estate & Investment Advisors since January 2026. Alex Kim is a control person of the firm and directly owns under 5% of it.
Signature Estate & Investment Advisors LLC is a Los Angeles, CA firm with $22.5B under management, 9,833 clients and 128 advisers across 26 offices, as of its September 2026 filing.
- Select Money Management, Inc.Also current– present · under a yearLos Angeles, CA · Adviser representative · Firm CRD 153256
- Signature Investment Advisors, LLCAlso current– present · under a yearLos Angeles, CA · Adviser representative · Firm CRD 160715
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| California | Approved | 30 June 2020 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 23 March 2022 |
| Series 66 | Uniform Combined State Law Examination | 30 June 2020 |
| Series 7TO | General Securities Representative Examination | 27 September 2019 |
| SIE | Securities Industry Essentials Examination | 20 July 2019 |
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
Individual record
- Full name
- Alex Kim
- CRD
- 7119162
- Office
- 2121 AVENUE OF THE STARS, SUITE 1600, Los Angeles, CA 90067
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Alex Kim work?
Alex Kim has been Deputy Compliance Officer of Signature Estate & Investment Advisors LLC since January 2026, and is a control person of the firm.
Is Alex Kim a financial advisor?
Yes. Alex Kim has a current investment-adviser registration in California, through Signature Estate & Investment Advisors since June 2020.
How many years of experience does Alex Kim have?
Alex Kim has 7 years in the financial industry, since September 2019, across 3 adviser firms.
What exams has Alex Kim passed?
Alex Kim has passed 4 licensing exams: the SIE, Series 7TO, Series 66 and Series 24. The earliest, the SIE, was passed in July 2019.
Where is Alex Kim based?
Alex Kim’s registered office is in Los Angeles, CA.