Individual Firm
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JENNIFER KIM
CRD#: 2322771
IA
B
SEIACRD#: 108163 2121 AVENUE OF THE STARS, SUITE 1600
LOS ANGELES, CA 90067
LOS ANGELES, CA 90067
SIGNATURE ESTATE SECURITIES, LLCCRD#: 18923 2121 Avenue of Stars
Suite 1600
Los Angeles, CA 90067
Suite 1600
Los Angeles, CA 90067
View By:
6/3/2020
Customer Dispute
Settled
State Registrations
B
Arizona 9/6/2023
B
New Mexico 9/26/2023
IA
California 3/9/2001
B
New York 11/20/2023
B
California 9/26/2023
B
North Carolina 8/24/2023
B
Florida 8/28/2023
B
Oregon 8/28/2023
B
Kentucky 9/27/2023
B
South Carolina 9/29/2023
B
Maryland 9/29/2023
IA
Texas 3/27/2019
B
Minnesota 9/28/2023
B
Texas 8/21/2023
B
Nevada 9/27/2023
B
Utah 8/25/2023
B
New Jersey 10/4/2023
B
Washington 9/28/2023
SRO Registrations
B
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IA
Registered with this firm since 3/9/2001
B
Registered with this firm since 8/20/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/02/2018 - 08/24/2023 | LOS ANGELES, CA | |
B | 03/04/1993 - 11/02/2018 | LOS ANGELES, CA | |
B | 03/04/1993 - 05/01/1997 | BOSTON, MA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.