KB
KB
Kathy Borkovec
35 Years of Experience
Northbrook, IL
2 DisclosuresBroker
Kathy Borkovec is a registered investment advisor at Charles Schwab & CO., INC., based in Northbrook, IL, with 35 years of industry experience. Kathy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
8109 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$1,000
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
444 Skokie Blvd, Northbrook, IL, 60062-2808
Get directionsHistory
Regulatory History (2)
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Customer Dispute
November 2023Denied
Customer Dispute
March 2004Settled
Employment History
Current Registrations
Charles Schwab & CO., INC.
March 2006 - Present · 20 yrs 2 mos
Charles Schwab & CO., INC.Broker
January 2006 - Present · 20 yrs 4 mos
Previous Registrations
Vision Investment Services, INC.Broker
October 2003 - December 2005 · 2 yrs 2 mos
Fifth Third Securities, INC.Broker
May 2001 - October 2003 · 2 yrs 5 mos
Old Kent Financial AdvisorsBroker
December 1999 - May 2001 · 1 yr 5 mos
Abn Amro Investment Services, INC.Broker
March 1999 - December 1999 · 9 mos
CUNA Brokerage Services, INC.Broker
March 1998 - March 1999 · 1 yr
Norwest Investment Services, INC.Broker
September 1997 - March 1998 · 6 mos
Invest Financial CorporationBroker
February 1996 - June 1997 · 1 yr 4 mos
Citicorp Investment ServicesBroker
September 1995 - February 1996 · 5 mos
Essex National Securities, INC.Broker
January 1994 - August 1995 · 1 yr 7 mos
Invest Financial CorporationBroker
August 1992 - January 1994 · 1 yr 5 mos
Marketing One Securities, INC.Broker
August 1988 - September 1990 · 2 yrs 1 mo
State Registrations28 states
AZCACOFLGAILINKYMAMDMIMNMOMTNCNJNMNVNYOHSCTNTXUTVAWAWIWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.