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Helen Lin

Southern California Wealth Management Associates
23 Years of Experience
Rolling Hills Estates, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Helen Lin is a registered investment advisor at Southern California Wealth Management Associates, based in Rolling Hills Estates, CA, with 23 years of industry experience. Helen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 115 clients with $34M in assets under management.

Southern California Wealth Management Associates
Compensation
Fee-Only (% of Portfolio)
Firm Size
3 advisors
Number of Clients
115 clients
Average Client Portfolio
$296K average
Assets Under Management
$34.0M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are generally negotiable and the final rate is established in the client's advisory agreement.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

655 Deep Valley Dr., Suite 125B, Rolling Hills Estates, CA, 90274

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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
September 2022
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Southern California Wealth Management Associates
July 2025 - Present · 1 yr 3 mos
Emerson Equity LLC
May 2025 - Present · 1 yr 5 mos
Emerson Equity LLCBroker
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Western International Securities, INC.Broker
August 2017 - May 2025 · 7 yrs 9 mos
Western International Securities
August 2017 - May 2025 · 7 yrs 9 mos
Financial West Group
September 2015 - August 2017 · 1 yr 11 mos
Financial West GroupBroker
September 2015 - August 2017 · 1 yr 11 mos
First Brokerage America, L.L.C.
December 2011 - September 2015 · 3 yrs 9 mos
First Brokerage America, L.L.C.Broker
June 2007 - September 2015 · 8 yrs 3 mos
Citicorp Investment ServicesBroker
June 2005 - November 2006 · 1 yr 5 mos
Citicorp Investment Services
June 2005 - November 2006 · 1 yr 5 mos
Wm Financial Services, INC.
July 2003 - May 2005 · 1 yr 10 mos
Wm Financial Services, INC.Broker
July 2003 - May 2005 · 1 yr 10 mos
Ids Life Insurance CompanyBroker
October 2002 - August 2003 · 10 mos
American Express Financial Advisors, INC.
October 2002 - August 2003 · 10 mos
American Express Financial Advisors INC.Broker
October 2002 - August 2003 · 10 mos
State Registrations4 states
CAFLHINV
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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