Serena Kim
Investment Adviser Representative at LPL Enterprise, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Serena Kim is an investment adviser representative with LPL Enterprise, LLC in Carlsbad, CA, where they have been registered since 2024. They have worked in the securities industry since 2014 and were previously registered with Prudential Financial Planning Services. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and Texas.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
17 states and territories
Alaska, Arizona, Arkansas, California, Colorado, Delaware, Florida, Minnesota, New Jersey, New York, Ohio, Pennsylvania, Texas, Utah, Washington, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Pruco Securities, LLC.Jul 2014 – Nov 2024Carlsbad, CA
- Prudential Insurance Company of AmericaJul 2014 – no end date reportedCarlsbad, CA
- Jadience Herbal FormulasJan 2011 – Jul 2018San Diego, CA
- CA Health Benefit ExchangeApr 2016 – Nov 2024San Diego, CA
- Word & Brown HealthDec 2016 – Nov 2024San Diego, CA
- DickersonAug 2017 – Nov 2024Los Angeles, CA
- SRK Consulting ServicesFeb 2018 – Nov 2024La Jolla, CA
- LPL Enterprise, LLCNov 2024 – no end date reportedCarlsbad, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Enterprise, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,088
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-130883
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 15, 2026
View full firm profileOther advisors at LPL Enterprise, LLC
Showing 12 of 3,088 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Serena Kim has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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