Erika F. Kam

CETERA INVESTMENT ADVISERS LLC

MIAMI, FL 33134

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CRD#: 4249178

Professional summary

Erika F Kam, who also goes by Erika F Gimenez-kam, Erika F. Gimenez-kam, Erika F. Kam, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Miami, Florida and CETERA INVESTMENT SERVICES LLC located in Miami, Florida.

Erika is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Erika has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erika F Gimenez-Kam | Erika F. Gimenez-Kam | Erika F. Kam

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.) REGIONS BANK, WEALTH ADVISOR, CUSTOMER SERVICE, DEPOSIT ACCOUNTS, LOANS, AND CREDIT CARD APPLICATIONS. 2.) DIRECTOR FOR SPARTAN HOLDINGS GROUP LLC, RESIDENTIAL RENOVATIONS-CONSOLIATE ALL EXPENSES, COSTS AND INCOME IN QUICKBOOKS FOR FAMILY BUSINESS, 50% OWNER, 2-4/HRS/WK. 3.) HOMEOWNER'S ASSOCIATION BOARD MEMBER FOR BIARRITZ HOMEOWNERS ASSOCIATION INC, 2-4/HRS/WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erika F Kam's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 30, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2800 Ponce De Leon Blvd First Floor, Miami, FL 33134

RIA

CRD#: 105644

MIAMI, FL

Current

May 16, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2800 Ponce De Leon Blvd, Miami, FL 33134

CRD#: 15340

Miami, FL

Past

April 22, 2024 - April 2, 2025

SAFRA SECURITIES LLC

CRD#: 47873

AVENTURA, FL

Past

September 13, 2019 - March 12, 2024

BCI SECURITIES, INC.

RIA

CRD#: 168047

MIAMI, FL

Past

September 12, 2019 - March 12, 2024

BCI SECURITIES, INC.

CRD#: 168047

MIAMI, FL

Past

December 9, 2014 - September 19, 2019

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Miramar, FL

Past

April 30, 2014 - September 19, 2019

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Miramar, FL

Past

February 9, 2010 - March 31, 2014

HAPOALIM SECURITIES USA, INC.

CRD#: 266

AVENTURA, FL

Past

March 31, 2008 - December 31, 2008

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

December 20, 2005 - April 18, 2007

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MIAMI, FL

Past

May 23, 2005 - April 18, 2007

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MIAMI, FL

Past

June 21, 2004 - December 7, 2005

DAVOS FINANCIAL ADVISORS, LLC

RIA

CRD#: 127356

MIAMI, FL

Past

January 23, 2002 - November 19, 2003

COLONIAL BROKERAGE, INC.

CRD#: 111668

MONTGOMERY, AL

Past

October 23, 2001 - January 22, 2002

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(5/16/2025)

Florida
(5/16/2025)

IAR

Florida
(5/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Erika F. Kam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erika F Kam's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

SAFRA SECURITIES LLC

BCI SECURITIES, INC.

BCI SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

HAPOALIM SECURITIES USA, INC.

HAPOALIM SECURITIES USA, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

DAVOS FINANCIAL ADVISORS, LLC

COLONIAL BROKERAGE, INC.

FISERV INVESTOR SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/22/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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