SP
SP
Shannon Peace
16 Years of Experience
Santa Barbara, CA
2 DisclosuresBroker
Shannon Peace is a registered investment advisor at Charles Schwab & CO., INC., based in Santa Barbara, CA, with 16 years of industry experience. Shannon 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
900 Chapala St., Suite 100, Santa Barbara, CA, 93101
Get directionsHistory
Regulatory History (2)
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Financial
July 2023Final
Customer Dispute
April 2022Closed-No Action
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
September 2018 - Present · 7 yrs 8 mos
Charles Schwab & CO., INC.
September 2018 - Present · 7 yrs 8 mos
Previous Registrations
Broad Reach Capital Management, INC
February 2013 - December 2017 · 4 yrs 10 mos
Horus Capital Management, LLC
February 2011 - April 2014 · 3 yrs 2 mos
Alluviant Group LLC
January 2011 - March 2011 · 2 mos
Wachovia Securities, LLC
May 2007 - October 2008 · 1 yr 5 mos
Wachovia Securities, LLCBroker
May 2007 - October 2008 · 1 yr 5 mos
A. G. Edwards & Sons, INC.Broker
January 2000 - July 2000 · 6 mos
State Registrations16 states
AZCACOCTFLIDMAMDMINDNVNYORTXUTWA
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.