KL
KL
Kim Lim is a registered investment advisor at LPL Financial LLC, based in Laguna Beach, CA, with 29 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.
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Location
Laguna Beach, CA
Get directionsHistory
Regulatory History (1)
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Customer Dispute
October 2008Denied
Employment History
Current Registrations
LPL Financial LLC
February 2014 - Present · 12 yrs 5 mos
LPL Financial LLCBroker
January 2014 - Present · 12 yrs 6 mos
Previous Registrations
Wells Fargo Advisors, LLC
July 2003 - February 2014 · 10 yrs 7 mos
Wells Fargo Advisors, LLCBroker
July 2003 - February 2014 · 10 yrs 7 mos
Prudential Securities Incorporated
April 1999 - July 2003 · 4 yrs 3 mos
Prudential Securities IncorporatedBroker
November 1998 - July 2003 · 4 yrs 8 mos
Waldron & CO., INC.Broker
November 1996 - September 1998 · 1 yr 10 mos
State Registrations1 state
CA
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.