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Dawn Kim

Charles Schwab & CO., INC.
26 Years of Experience
Torrance, CA
1 DisclosureBroker
View SEC Summary
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Dawn Kim is a registered investment advisor at Charles Schwab & CO., INC., based in Torrance, CA, with 26 years of industry experience. Dawn 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.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8343 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 ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$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
—
View Full SEC Brochure

Location

21370 Hawthorne Blvd, Torrance, CA, 90503

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History

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
December 2017
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Charles Schwab & CO., INC.
May 2023 - Present · 3 yrs 5 mos
Charles Schwab & CO., INC.Broker
May 2023 - Present · 3 yrs 5 mos
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.
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