Alex
Kim

Alex Kim is the Chief Compliance Officer at Signature Estate & Investment Advisors, LLC (SEIA). He leads the firm’s compliance function, helping support the regulatory, supervisory, and governance framework that enables SEIA advisors to serve clients with consistency and accountability.

Alex’s work centers on translating regulatory responsibilities into practical processes that support advisors, clients, and the firm’s broader operations. Effective compliance requires attention to detail, clear communication, and a strong understanding of how policies, technology, client service, and investment activity intersect in a growing registered investment advisory firm.

He works across SEIA’s leadership, advisory, operations, and technology teams to help maintain a culture of transparency, responsible oversight, and continuous improvement. His role supports SEIA’s commitment to delivering comprehensive wealth management within a well-governed and client-centered platform.

Alex holds FINRA Series 7, Series 24, and Series 66 licenses. He is based in SEIA’s Los Angeles office.