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Warren Kim

LPL Financial LLC
25 Years of Experience
Las Vegas, NV
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Warren Kim is a registered investment advisor at LPL Financial LLC, based in Las Vegas, NV, with 25 years of industry experience. Warren 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 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 ValueAnnual Fee
Any2.50%

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
—
View Full SEC Brochure

Location

Las Vegas, NV

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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
November 2025
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Warren is involved in real estate rental, dedicating minimal time. He also engages in non-variable insurance activities, taking about a quarter of his time, and operates under Crossroads Financial Services as a DBA for his LPL business.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2024 - Present · 2 yrs 5 mos
LPL Financial LLC
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
J.P. Morgan Securities LLC
December 2022 - June 2024 · 1 yr 6 mos
J.P. Morgan Securities LLCBroker
November 2022 - June 2024 · 1 yr 7 mos
Insperex LLCBroker
November 2021 - October 2022 · 11 mos
Axio Financial LLCBroker
February 2021 - August 2021 · 6 mos
Global Atlantic Distributors, LLCBroker
March 2015 - February 2021 · 5 yrs 11 mos
Ohio National Equities, INC.Broker
May 2014 - February 2015 · 9 mos
Proequities, INC.Broker
March 2012 - March 2014 · 2 yrs
Sun Life Financial Distributors, INC.Broker
November 2011 - December 2011 · 1 mo
Ing Investments Distributor, LLCBroker
March 2011 - November 2011 · 8 mos
Ing Investment Management CO.
March 2011 - November 2011 · 8 mos
Directed Services LLC
December 2009 - December 2010 · 1 yr
Directed Services LLCBroker
December 2007 - December 2010 · 3 yrs
Nationwide Investment Services CorporationBroker
September 2005 - January 2008 · 2 yrs 4 mos
Tower Square Securities, INC.Broker
June 2004 - October 2005 · 1 yr 4 mos
Aig Sunamerica Capital Services, INC.Broker
January 2000 - October 2003 · 3 yrs 9 mos
State Registrations25 states
AZCACOCTFLILINKSKYLAMAMINCNJNMNVNYOHOKPASCTNTXWAWI
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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