Kim M. Bourne
CETERA INVESTMENT ADVISERS LLC
BROOKLYN, NY
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CRD#: 2826596
Professional summary
Kim Monique Bourne, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brooklyn, New York and CETERA WEALTH SERVICES, LLC located in Brooklyn, New York.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kim has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Girls Scout of New York~43 West 23rd Street~New York~NY~10010~Club/Association Director/Officer~Other~3/1/2013~12hrs~0hrs~Board Member 2) Kim Bourne~1640 E. 94th Street~Brooklyn~NY~11236~Independent Insurance Agent~Insurance Sales Agent~1/1/2005~10hrs~0hrs~Find the best suitable insurance products for clients 3) Landlord~1640 E. 94th Street~Brooklyn~NY~11236~Real Estate/Mortgage/Title Services/Appraisal~Other~6/1/1993~3hrs~0hrs~landlord 4) Playfair Planning Services~1640 E. 94th Street~Brooklyn~NY~11236~Tax Preparation/Accounting~Tax Preparation/Accounting~5/1/1998~168hrs~0hrs~Tax Preparation for both Individuals and Business 5) BLACK WOMEN OF INFLUENCE; Speaker for Financial Literacy Series "A Women's Window to Wealth" NATURE: Presented as a speaker to touch on financial topics on a high level for Cashflow & Credit Management, Investment Management, and Legacy & Estate Planning.; NIR; HRS 1; HR 0; 05/17/2023; 1640 East 94th Street, Brooklyn NY 11236, United States; Create client-ready 45-min presentations to discuss and answer questions members of organization may have about financial literacy. Topics include Cashflow & Credit Management, Investment Management, and Legacy & Estate Planning 6) MOUNT SINAI; Financial Literacy Speaker; Provide 4 weekly webinars/ seminars for Black History Month (February) that focus on financial literacy for employees and residents of the Mount Sinai community. Presented as a speaker to touch on financial topics; NIR; HRS: 4; HRS 0; 02/07/2023; 1640 East 94th Street, Brooklyn NY 11236, United States; Create PowerPoints that relay financial literacy topics.- Answer general questions regarding current laws that may impact the financial household or financial dynamic of a family. Create client-ready 45-min presentations to discuss and answer questions members of organization may have about financial literacy. Topics include Cashflow & Credit Management, Investment Management, and Legacy & Estate Planning. 7) READ 718 BOARD TRUSTEE; Finance Committee Chair NATURE: I oversee the operation of the Finance Committee and participate in Board meetings. Ensure the effective management of Read718's financial resources. Review and analyze financial reports, budgets, and forecasts to provide strategic guidance and education to the Board of Directors- Develop and implement financial policies and procedures that align with Read718's mission and goals. Develop metrics of success regarding donors, cash reserves, and fundraising cashflow NIR, HRS 4; HRS 2; 08/01/2021; 420 Atlantic Avenue, Brooklyn NY 11217, United States; Budgeting and Financial Planning Reporting & Monitoring Internal Controls and Accountability, Transparency, and Risk Management Covering Audits and Investments Monitoring Other Risk Management Areas 8) FINANCIAL IMPLICATIONS OF SLAVERY HERITAGE, INC. (FISH); Founder NATURE: To help families perpetuate family legacies through workshops and community initiatives. NIR; HRS 12; HRS 4; 01/01/2021; 1640 East 94th Street, Brooklyn NY 11236, United States; Set the strategy, ensure resources, and provide oversight to the organization.
CRS (Client Relationship Summary) - RIA
Click below to view Kim Monique Bourne's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2004
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BROOKLYN, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Brooklyn, NY
Past
July 28, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
BROOKLYN, NY
Past
January 14, 1997 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Brooklyn, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Indiana(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/21/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
