Vernon Kim is a registered investment advisor at LPL Financial LLC, based in Frisco, TX, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Loading...
Location
Frisco, TX
Get directionsHistory
Regulatory History (3)
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
April 2007Closed-No Action
Customer Dispute
January 2006Closed-No Action
Customer Dispute
October 2001Closed-No Action
Employment History
Current Registrations
LPL Financial LLC
April 2024 - Present · 2 yrs 5 mos
LPL Financial LLCBroker
April 2024 - Present · 2 yrs 5 mos
Previous Registrations
Wells Fargo Advisors
January 2008 - April 2024 · 16 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
January 2008 - April 2024 · 16 yrs 3 mos
A. G. Edwards & Sons, INC.
November 2002 - January 2008 · 5 yrs 2 mos
A. G. Edwards & Sons, INC.Broker
August 1993 - January 2008 · 14 yrs 5 mos
State Registrations11 states
ARFLLAMIMNNCNVNYOKSCTX
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.