Jennifer Kim: $245K Complaint Against SEIA Advisor

Los Angeles, California financial advisor Jennifer Kim (CRD# 2322771) recently received an investor complaint that settled for a six-figure sum. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Signature Estate Securities and Signature Estate & Investment Advisors (SEIA), respectively.

Ms. Kim’s BrokerCheck report discloses two investor complaints. The most recent, filed in February 2025, alleged that as a representative of SEIA, she did not adequately explain an investment in structured notes. In April 2025 the complaint reached a settlement of $245,486.34.

In a statement included with the complaint’s disclosure, Ms. Kim defended herself against the allegations. “Signed documentation and client notes indicate adequate disclosure and discussion were made,” the statement explains. “A settlement was made with Client(s) without admitting fault or guilt.”

An earlier investor complaint, filed in 2020, alleged that as a representative of Royal Alliance Associates, she failed to follow instructions, resulting in losses. The complaint reached a settlement of $17,164.73.

Signature Estate & Investment Advisors’ website includes a page describing the firm’s approach to investment management. “SEIA combines its foundations in investment management and financial planning with advisory services to create a truly customized client experience,” this page explains. “Our holistic wealth management offering includes the overseeing and stewardship of all elements of your financial life.”

Elsewhere on the firm’s website, a profile of Ms. Kim describes her background and services. “Currently, she is a licensed independent insurance broker with Signature Comprehensive Insurance Services, LLC,” it states. “Her specialties include estate planning, retirement planning, and corporate benefits. Jennifer has been in the investment management and insurance business since 1993.”

According to the Financial Industry Regulatory Authority, Jennifer Kim holds 32 years of securities industry experience. Based in Los Angeles, California, she has been registered as a broker with Signature Estate Securities since 2023 and an investment advisor with SEIA since 2001. Her registration history includes Osaic Wealth (Los Angeles, California; 2018-2023), Signator Investors (Los Angeles, California; 1993-2019), and John Hancock Mutual Life Insurance Company (Boston, Massachusetts; 1993-1997). Her credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in Arizona, California, Florida, Kentucky, Maryland, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, Oregon, South Carolina, Texas, Utah, and Washington. (Information current as of April 13, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.