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 is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$4,000
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% |
Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
445 Skokie Blvd, Northbrook, IL, 60062
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2023Denied
Customer Dispute
March 2004Settled
Employment History
Current Registrations
Charles Schwab & CO., INC.
March 2006 - Present · 20 yrs 8 mos
Charles Schwab & CO., INC.Broker
January 2006 - Present · 20 yrs 10 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.
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