Lyndsay Kim is a registered investment advisor, based in Deerfield, IL, with 21 years of industry experience.
Location
Three Parkway North, Suite 500, Deerfield, IL, 60015-2567
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Lyndsay is the Chief Compliance Officer for Alera Investment Advisors, a registered investment advisor. This is an investment-related activity and takes nearly full-time hours.
Employment History
Current Registrations
Alera Securities LLCBroker
July 2025 - Present · 10 mos
Alera Securities LLC
July 2025 - Present · 10 mos
Alera Investment Advisors, LLC
February 2022 - Present · 4 yrs 3 mos
Previous Registrations
Osaic Wealth, INC.Broker
August 2024 - April 2025 · 8 mos
Triad Advisors, LLC
May 2013 - March 2022 · 8 yrs 10 mos
Triad Advisors LLCBroker
May 2013 - August 2024 · 11 yrs 3 mos
Fsc Securities Corporation
May 2012 - May 2013 · 1 yr
Fsc Securities CorporationBroker
November 2011 - May 2013 · 1 yr 6 mos
Royal Alliance Associates, INC.Broker
November 2011 - May 2013 · 1 yr 6 mos
Sagepoint Financial, INC.Broker
November 2011 - May 2013 · 1 yr 6 mos
World Group Securities, INC.Broker
September 2010 - November 2011 · 1 yr 2 mos
Wells Investment Securities,inc.Broker
October 2002 - May 2007 · 4 yrs 7 mos
Invest Financial CorporationBroker
November 2000 - July 2002 · 1 yr 8 mos
State Registrations3 states
FLGAIL
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.