KW
KW
Kwun Wong is a registered investment advisor at LPL Financial LLC, based in Hockessin, DE, with 30 years of industry experience. Kwun is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28129 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
151 Lantana Drive, Hockessin, DE, 19707
Get directionsHistory
Regulatory History (1)
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
February 2017Denied
Employment History
Current Registrations
LPL Financial LLC
June 2021 - Present · 5 yrs 4 mos
LPL Financial LLCBroker
June 2021 - Present · 5 yrs 4 mos
LPL Financial LLC
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
M&t Securities, INC.Broker
January 2020 - June 2021 · 1 yr 5 mos
M&t Securities, INC.
January 2020 - June 2021 · 1 yr 5 mos
Citizens Securities, INC.Broker
May 2013 - January 2020 · 6 yrs 8 mos
Citizens Securities, INC.
May 2013 - January 2020 · 6 yrs 8 mos
Hsbc Securities (USA) INC.
May 2006 - May 2013 · 7 yrs
Hsbc Securities (USA) INC.Broker
April 2006 - May 2013 · 7 yrs 1 mo
Commerce Capital Markets, INC.
July 2005 - April 2006 · 9 mos
Commerce Capital Markets, INC.Broker
June 2005 - April 2006 · 10 mos
Hsbc Securities (USA) INC.Broker
January 2005 - June 2005 · 5 mos
Hsbc Brokerage (USA) INC.Broker
April 2001 - January 2005 · 3 yrs 9 mos
TD Waterhouse Investor Services, INC.Broker
September 1999 - January 2001 · 1 yr 4 mos
Bishop, Rosen & CO., INC.Broker
October 1997 - September 1999 · 1 yr 11 mos
Gkn Securities CORP.Broker
December 1996 - October 1997 · 10 mos
Investors Associates, INC.Broker
January 1996 - May 1997 · 1 yr 4 mos
State Registrations20 states
AZCACTDEFLIAILMAMDMONCNJNYOHPASCTXVAWIWY
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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