Karen Sherlock is a registered investment advisor at Schwab Wealth Advisory, INC., based in Pinetop, AZ, with 25 years of industry experience. Karen 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, Tax Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
SWAI does not directly charge clients for investment advice. Schwab pays SWAI a fee for the investment advice provided to SWA Accounts. SWAI Representatives provide periodic recommendations to clients about how to allocate assets and which securities to buy, sell and hold in a SWA account.
Location
Pinetop, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Karen owns rental property through Midnight Sun Rentals since 2014, and assists restaurant owners at L'Amore since 2018. Both activities are not investment-related and take about 10-20% of her time, none of which occurs during securities trading hours.
Employment History
Current Registrations
Schwab Wealth Advisory, INC.
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Charles Schwab & CO., INC.
State Registrations30 states
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