Our firm is investigating LPL Financial LLC financial advisor and registered representative Warren Kim (CRD# 4028287) of Las Vegas, Nevada for potential investment-related misconduct.
Financial Advisor’s Career History
Based on FINRA BrokerCheck, Warren Kim’s registration history includes the following firms (among others) over his securities industry career:
- LPL Financial LLC (Las Vegas, NV) — registered since May 1, 2024
- J.P. Morgan Securities LLC (Tempe, AZ / New York, NY) — 11/2022 to 06/2024
- Insperex LLC (Delray Beach, FL) — 11/2021 to 10/2022
- Axio Financial LLC (Las Vegas, NV) — 02/2021 to 08/2021
- Global Atlantic Distributors, LLC (Las Vegas, NV) — 03/2015 to 02/2021
- Ohio National Equities, Inc. (Cincinnati, OH) — 05/2014 to 02/2015
- ProEquities, Inc. (Birmingham, AL) — 03/2012 to 03/2014
- Sun Life Financial Distributors, Inc. (Wellesley Hills, MA) — 11/2011 to 12/2011
- Directed Services LLC (West Chester, PA / Scottsdale, AZ) — 12/2007 to 12/2010
- Nationwide Investment Services Corporation (Columbus, OH) — 09/2005 to 01/2008
- Tower Square Securities, Inc. (El Segundo, CA) — 06/2004 to 10/2005
- AIG SunAmerica Capital Services, Inc. (Jersey City, NJ) — 01/2000 to 10/2003
FINRA BrokerCheck also reflects that (within the last 10 years of reported Form U4 employment history) he worked as a registered representative at J.P. Morgan Securities LLC and as a financial advisor at JPMorgan Chase Bank N.A., among other roles.
Warren Kim Fraud Allegations and Investor Complaints Explained
FINRA BrokerCheck reflects one disclosed customer dispute for Warren Kim.
In this matter, the customer alleged that variable annuity contract terms were not adequately explained in October 2025, with alleged damages of $5,000 (reported as “over $5,000”). The complaint was received on November 6, 2025, and the status shows the complaint was denied with a status date of November 25, 2025.
FINRA’s disclosure narrative also states the customer alleged an inadequate explanation of the annuity surrender period and charges, and that the allegations were deemed unsubstantiated and the claim denied.
FINRA BrokerCheck Disclosures (for context)
- Customer Dispute (Written Complaint) — Variable Annuity
- Allegation timeframe: October 2025 (terms not adequately explained)
- Product: Variable annuity
- Alleged damages: $5,000 (reported as “over $5,000”)
- Complaint received: 11/06/2025
- Disposition / status: Denied (status date 11/25/2025)
- Additional detail reported: customer alleged inadequate explanation of surrender period and charges; allegations deemed unsubstantiated
To obtain a copy of Warren Kim’s FINRA BrokerCheck report, visit this link.
Robert Wayne Pearce Is Committed to Recovering Your Investment Losses
FINRA Rule 2330 (Members’ Responsibilities Regarding Deferred Variable Annuities) is often implicated in disputes involving variable annuity recommendations because it establishes sales-practice and supervisory expectations for recommended purchases and exchanges of deferred variable annuities, including a reasonable belief that the customer was informed about key features such as surrender charges and other product costs.
FINRA Rule 2111 (Suitability) can also be relevant where an investor alleges they did not understand material annuity features (such as surrender periods and charges), because suitability requires reasonable diligence into the customer’s investment profile and a reasonable basis to believe a recommended transaction or strategy is suitable for that customer.
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) is a broad ethical rule frequently cited alongside more specific sales-practice rules when allegations involve unfair practices, inadequate disclosure of material terms, or other conduct that may be inconsistent with just and equitable principles of trade.
For over 45 years, Robert Wayne Pearce has helped investors recover losses caused by broker fraud, negligence, and unsuitable recommendations. His firm, The Law Offices of Robert Wayne Pearce, P.A., represents clients nationwide on a no-recovery, no-fee basis. Call (800) 732-2889 or email pearce@rwpearce.com for a free case review with an experienced securities attorney.