Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Kim is a financial advisor with Charles Schwab & CO., Inc. in Torrance, California. Dawn has been in the financial industry since 1999. Dawn has been registered with the state of California to provide investment advice since 2023. Dawn has previous experience with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, UNIONBANC INVESTMENT SERVICES, LLC, LPL FINANCIAL LLC, KINECTA FINANCIAL & INSURANCE SERVICES, LLC, CITICORP INVESTMENT SERVICES, FINANCIAL NETWORK INVESTMENT CORPORATION, AMERICAN EXPRESS FINANCIAL ADVISORS INC., IDS LIFE INSURANCE COMPANY, and WMA SECURITIES, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
05/23/2023 - Present
Charles Schwab & CO., Inc. (Torrance CA)
CA
07/02/2020 - 05/16/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EL SEGUNDO CA)
CA
10/11/2017 - 07/09/2020
UNIONBANC INVESTMENT SERVICES, LLC (LAKEWOOD CA)
CA
07/03/2012 - 10/27/2017
LPL FINANCIAL LLC (LAKEWOOD CA)
CA
08/22/2012 - 10/11/2017
KINECTA FINANCIAL & INSURANCE SERVICES, LLC (WOODLAND HILLS CA)
CA
08/22/2005 - 07/03/2012
UNIONBANC INVESTMENT SERVICES, LLC (MONTEBELLO CA)
NY
12/17/2003 - 08/02/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
06/07/2001 - 01/14/2004
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
MN
04/24/2000 - 04/04/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/24/2000 - 04/04/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
GA
08/13/1999 - 04/05/2000
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 08/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/13/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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