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Dawn Kim
26 Years of Experience
Torrance, CA
1 DisclosureBroker
Dawn Kim is a registered investment advisor at Charles Schwab & CO., INC., based in Torrance, CA, with 26 years of industry experience. Dawn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
8109 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$1,000
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% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
21370 Hawthorne Blvd, Torrance, CA, 90503
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2017Denied
Employment History
Current Registrations
Charles Schwab & CO., INC.
May 2023 - Present · 3 yrs
Charles Schwab & CO., INC.Broker
May 2023 - Present · 3 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2020 - May 2023 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2020 - May 2023 · 2 yrs 10 mos
Unionbanc Investment Services, LLC
October 2017 - July 2020 · 2 yrs 9 mos
Unionbanc Investment Services, LLCBroker
October 2017 - July 2020 · 2 yrs 9 mos
Kinecta Financial & Insurance Services, LLCBroker
August 2012 - October 2017 · 5 yrs 2 mos
LPL Financial LLC
July 2012 - October 2017 · 5 yrs 3 mos
LPL Financial LLCBroker
July 2012 - October 2017 · 5 yrs 3 mos
Unionbanc Investment Services, LLCBroker
August 2005 - July 2012 · 6 yrs 11 mos
Unionbanc Investment Services, LLC
August 2005 - July 2012 · 6 yrs 11 mos
Citicorp Investment Services
December 2003 - August 2005 · 1 yr 8 mos
Citicorp Investment ServicesBroker
December 2003 - August 2005 · 1 yr 8 mos
Financial Network Investment CorporationBroker
June 2001 - January 2004 · 2 yrs 7 mos
American Express Financial Advisors INC.Broker
April 2000 - April 2001 · 1 yr
Ids Life Insurance CompanyBroker
April 2000 - April 2001 · 1 yr
Wma Securities, INC.Broker
August 1999 - April 2000 · 8 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.