JM
JM
Johnna Malik
27 Years of Experience
Phoenix, AZ
3 DisclosuresBroker
Johnna Malik is a registered investment advisor at Charles Schwab & CO., INC., based in Phoenix, AZ, with 27 years of industry experience. Johnna 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
2423 E Lincoln Dr, Phoenix, AZ, 85016-1215
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.
Judgment / Lien
April 2013Judgment / Lien
April 2004Judgment / Lien
February 2004Employment History
Current Registrations
Charles Schwab & CO., INC.
January 2018 - Present · 8 yrs 9 mos
Charles Schwab & CO., INC.Broker
January 2006 - Present · 20 yrs 9 mos
Previous Registrations
Charles Schwab & CO., INC.Broker
April 1998 - December 2004 · 6 yrs 8 mos
State Registrations2 states
AZCA
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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