Grace Kim is a registered investment advisor, based in Ambler, PA, with 24 years of industry experience.
Location
Ambler, PA
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Regulatory History (1)
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Customer Dispute
May 2016Closed-No Action
Other Business ActivitiesSells Insurance
Grace is involved in several insurance-related activities, including sales of equity-indexed annuities, P&C insurance, health insurance, and life insurance. These activities, along with her role as owner/sole proprietor for Avantax Services, take up nearly a full-time commitment.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
September 2025 - Present · 8 mos
Cetera Investment Advisers LLC
September 2025 - Present · 8 mos
Previous Registrations
Avantax Investment Services, INC.Broker
June 2015 - September 2025 · 10 yrs 3 mos
Avantax Advisory Services
June 2015 - September 2025 · 10 yrs 3 mos
Fsc Securities Corporation
February 2012 - July 2015 · 3 yrs 5 mos
Fsc Securities CorporationBroker
April 2011 - July 2015 · 4 yrs 3 mos
New England SecuritiesBroker
September 2010 - January 2011 · 4 mos
Pruco Securities, LLC.Broker
April 2001 - July 2010 · 9 yrs 3 mos
Allstate Financial Services, LLCBroker
October 2000 - April 2001 · 6 mos
State Registrations3 states
DENJPA
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.