Role at Advanced Capital Group
- Title on Schedule A
- Chief Compliance Officer
- Control
- Lyndsay Kim is a control person of Advanced Capital Group.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Lyndsay Kim has held the filed role since April 2025.
The firm
Form ADV filed 20 March 2026
Career on record
- Passed Series 24 · 2023
- Alera Investment Advisors, LLCCurrent– present · 5 yearsBuford, GA · Adviser representative · Firm CRD 287906
- Passed SIE · 2018
- Triad Advisors, LLC– · 9 yearsChicago, IL · Adviser representative · Firm CRD 25803
- Fsc Securities Corporation– · 1 yearAtlanta, GA · Adviser representative · Firm CRD 7461
- Passed Series 66 · 2012
- Passed Series 63 · 2001
- Passed Series 7 · 2000
Registrations and exams
Lyndsay Kim has a current investment-adviser registration in Georgia and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Georgia | Investment adviser representative | Approved | 1 February 2022 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 21 May 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 May 2001 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 20 November 2000 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Lyndsay Rachel Kim
- CRD
- 2902606
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Lyndsay Kim work?
Lyndsay Kim has been Chief Compliance Officer of Advanced Capital Group, Inc. since April 2025, and is a control person of the firm.
Is Lyndsay Kim a financial advisor?
Yes. Lyndsay Kim has a current investment-adviser registration in Georgia, as of 17 October 2026.
How many years of experience does Lyndsay Kim have?
Lyndsay Kim has worked in the financial industry for 22 years as of 17 October 2026, counted from 4 July 2004, across 3 adviser firms.
What exams has Lyndsay Kim passed?
Lyndsay Kim has passed 5 licensing exams: the Series 7, Series 63, Series 66, SIE and Series 24. The earliest, the Series 7, was passed in November 2000.
Where was Lyndsay Kim previously registered as an investment adviser?
Lyndsay Kim has past investment-adviser registrations through Triad Advisors, LLC, May 2013 to March 2022; Fsc Securities Corporation, May 2012 to May 2013, across 3 firms.
Leadership at Advanced Capital Group
- Charles LangowskiChief Executive Officer
- Justin DorseyPrincipal
- Holly KnightRetirement Plan Services Practice Leader
- Patrick LarsonChief Investment Officer