DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

David K Shin

Advisor at CHARLES SCHWAB & CO., INC.

Brea, CA | Seal Beach, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fee3ad91-e1e7-547a-6ee3-f3dc0cbc52ae

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 23, 2014 to Sep 15, 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: Apr 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 21, 2014
First registration: Jun 23, 2014
Dual registered: yes, broker-dealer
Other names: DAVID SHIN|KA R SHIN
IAPD individual key: 5587090

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	Jan 26, 2022	n/a	yes	Brea, CA\|Seal Beach, CA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 28, 2018	Sep 7, 2023	no	Long Beach, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 28, 2018	Oct 14, 2022	no	Long Beach, CA\|Brea, CA	Previous registration
KLK CAPITAL MANAGEMENT LLC	Former SEC adviser	Jun 23, 2014	Jul 3, 2018	no	LOS ANGELES, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 26, 2022	-589	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Jun 28, 2018	-1,569	Bulk transfer	Other
KLK CAPITAL MANAGEMENT LLC	TD AMERITRADE, INC.	Jul 3, 2018	Jun 28, 2018	-5	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 28, 2018 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 28, 2018 to Oct 14, 2022factForm ADV
→ KLK CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 23, 2014 to Jul 3, 2018factForm ADV

Dated events

No dated event names this entity yet.