Adam Kim Permitted to Resign from Equitable Advisors

Adam Kim (CRD #: 2846317), a broker registered with Cambridge Investment Research, was permitted to resign from his previous firm, according to his BrokerCheck record, accessed on July 12, 2023. Investors may have also engaged his services through Cambridge Investment Research Advisors. Keep reading to learn more about his alleged conduct as a broker.

Resignation from Equitable Advisors

On May 18, 2023, Adam Kim was permitted to resign from Equitable Advisors following allegations that his assistant transferred client information to a personal email account.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Adam Kim has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 82TO – Limited Representative-Private Securities Offerings
• SIE – Securities Industry Essentials Examination
• Series 31 – Futures Managed Funds Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination

Adam Kim is a registered broker in California, Florida, New Mexico, Oregon, and Texas. He is also a registered investment adviser in California and Texas.

He has also worked for the following firms:

• Equitable Advisors (CRD#:6627)
• Cambridge Investment Research Advisors (CRD#:134139)
• Cambridge Investment Research (CRD#:39543)
• Securities America Advisors (CRD#:110518)
• Securities America (CRD#:10205)
• ATEL Securities CORPORATION (CRD#:17229)
• Claymore Advisors (CRD#:129288)
• Claymore Securities (CRD#:39805)
• Old Mutual Investment Partners (CRD#:44916)
• NYLIFE Distributors (CRD#:35350)
• TransAmerica Capital (CRD#:8217)
• American Express Financial Advisors (CRD#:6363)
• IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Adam Kim and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.