Signature Estate Securities, LLC broker Jennifer Kim (CRD# 2322771) is accused of structured note losses. She has been registered with Signature Estate Securities, LLC in Los Angeles, California, since 2023, and SEIA in Los Angeles, California, since 2001. He was registered with Osaic Wealth, Inc. in Los Angeles, California, from 2018 to 2023, and Signator Investors, Inc. in Los Angeles, California, from 1993 to 2018.
Jennifer Kim Customer Complaints
She has been the subject of two customer complaints between 2020 and 2025, according to her CRD report:
February 2025. “Client(s) claim the investment (Structured Notes) was not adequately explained to them. Signed documentation and client notes indicate adequate disclosure and discussion were made.” The case was settled for $245,486.34. The complaint was regarding structured note losses, and it took place while he was registered with Signature Estate Securities, LLC.
June 2020. “Customer alleges that the representative failed to follow instructions resulting in losses in the account.” The case was settled for $17,164.73. The complaint was regarding investment advisory account losses, and it took place while he was registered with Royal Alliance Associates, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Signature Estate Securities, LLC may be liable for investment or other losses suffered by Jennifer Kim’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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