Dawn Kim

CRD 3105545 · Charles Schwab & Co., Inc. · Torrance, CA

IA RegisteredBroker

Also appears in the source record as: Dawn Quach Kim; Dawn Vu Quach

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (1): California
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3105545 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Torrance, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Torrance, CA · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
El Segundo, CA · IA capacity

Jul 2, 2020 → May 16, 2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated
El Segundo, CA · BC capacity

Jul 2, 2020 → May 16, 2023
Unionbanc Investment Services, LLC
Lakewood, CA · IA capacity

Oct 12, 2017 → Jul 9, 2020
Unionbanc Investment Services, LLC
Lakewood, CA · BC capacity

Oct 11, 2017 → Jul 9, 2020
Lpl Financial LLC
Lakewood, CA · IA capacity

Jul 6, 2012 → Oct 27, 2017
Lpl Financial LLC
Lakewood, CA · BC capacity

Jul 3, 2012 → Oct 27, 2017
Kinecta Financial & Insurance Services, LLC
Woodland Hills, CA · BC capacity

Aug 22, 2012 → Oct 11, 2017
Citicorp Investment Services
Cerritas, CA · IA capacity

Dec 17, 2003 → Aug 2, 2005
Citicorp Investment Services
Long Island City, NY · BC capacity

Dec 17, 2003 → Aug 2, 2005
Financial Network Investment Corporation
El Segundo, CA · BC capacity

Jun 7, 2001 → Jan 14, 2004
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Apr 24, 2000 → Apr 4, 2001
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

Apr 24, 2000 → Apr 4, 2001
Wma Securities, Inc.
Duluth, GA · BC capacity

Aug 13, 1999 → Apr 5, 2000

Source & corrections

Where this page comes from

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