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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

DAWN KIM

Advisor at CHARLES SCHWAB & CO., INC.

Torrance, CA

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Search this name across graphsid dfx:ria:e65882b4-65f6-e03e-10d0-12856147f2bc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 17, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 8, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 8, 1999
First registration: Dec 17, 2003
Dual registered: yes, broker-dealer
Other names: DAWN VU QUACH|DAWN VU QUACH|DAWN Quach KIM|DAWN KIM
IAPD individual key: 3105545

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	May 23, 2023	n/a	yes	Torrance, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 2, 2020	May 16, 2023	no	LOS ANGELES, CA\|EL SEGUNDO, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Oct 12, 2017	Jul 9, 2020	no	LOS ANGELES, CA\|LOS ANGELES, CA\|BELLFLOWER, CA\|LAKEWOOD, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 6, 2012	Oct 27, 2017	no	HUNTINGTON BEACH, CA\|LAKEWOOD, CA\|HUNTINGTON BEACH, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Aug 22, 2005	Jul 3, 2012	no	SOUTH GATE, CA\|ARCADIA, CA\|PASADENA, CA\|CITY OF COMMERCE, CA\|EL MONTE, CA\|LOS ANGELES, CA\|CITY OF INDUSTRY, CA\|Glendora, CA\|MONTEBELLO, CA\|LA HABRA, CA\|ARTESIA, CA\|San Gabriel, CA\|SAN GABRIEL, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Dec 17, 2003	Aug 2, 2005	no	CERRITAS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHARLES SCHWAB & CO., INC.	May 16, 2023	May 23, 2023	7	Firm change	Wirehouse to ibd
U.S. BANCORP ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 9, 2020	Jul 2, 2020	-7	Firm change	Ibd to wirehouse
LPL FINANCIAL LLC	U.S. BANCORP ADVISORS, LLC	Oct 27, 2017	Oct 12, 2017	-15	Firm change	Other
U.S. BANCORP ADVISORS, LLC	LPL FINANCIAL LLC	Jul 3, 2012	Jul 6, 2012	3	Firm change	Other
CITICORP INVESTMENT SERVICES	U.S. BANCORP ADVISORS, LLC	Aug 2, 2005	Aug 22, 2005	20	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 23, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 2, 2020 to May 16, 2023factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 12, 2017 to Jul 9, 2020factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 6, 2012 to Oct 27, 2017factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Dec 17, 2003 to Aug 2, 2005factForm ADV

Dated events

Occurred
May 16, 2023
Advisor changed firm
Dawn Kim left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Charles Schwab & Co., Inc. (registered 2023-05-23)
Form ADVobserved 4 days ago