Alex Kim

Alex Kim has a diverse background in the financial industry with a focus on compliance. Alex started their career at Analytic Investors in 2007, where they worked in portfolio accounting and compliance until 2013. Following that, they joined Payden & Rygel as a Compliance Analyst from 2013 to 2019. Currently, Alex is employed at Signature Estate & Investment Advisors, LLC, where they held roles as an Investment Compliance Analyst from 2019 to 2020, Compliance Officer from 2020 to 2022, and is currently serving as the Director of Compliance as of July 2022.

Alex Kim attended California State University, Northridge, where they pursued a degree in English. However, the specific field of study is not mentioned. In addition to their degree, Alex has obtained several certifications from FINRA, including the Series 24 - General Securities Principal, Series 66 - Uniform Combined State Law, and Series 7 - General Securities Representative. The month and year of when these certifications were obtained are not provided.