Aw Securities

CRD#103747
Investment Advisor Firm

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Learn more about Aw Securities

  • Overview
  • By the Numbers
  • Fee Structure
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Aw Securities is located at 340 Palladio Pkwy., Folsom, CA. The firm is a registered broker-dealer.

    Aw Securities offers other services and maintains affiliations with an accountant or accounting firm. The firm operates on an other fee structure.

    Aw Securities is registered in the state of California.

    Disclosures

    No

    Office Location

    340 Palladio Pkwy.
    Folsom, CA 95630

    Aw Securities by the Numbers

    Total Number of Employees

    14

    National Average: 64
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    Fee Structure

    Fees charged by financial advisors usually vary depending on the services offered. Fees charged by Aw Securities typically consist of non-traditional fee structures.

    Available

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 69% of firms that offer this fee type

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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    Disclosures

    Aw Securities does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Aw Securities

    Mark Grome
    Cincinnatti, OH
    Beau Mcguire
    Folsom, CA
    Kevin Duffy
    Folsom, CA
    Brady Brandt
    Folsom, CA
    Cheyenne Walker
    Folsom, CA
    Daniel Rausch
    Grandville, MI
    Benjamin Knight
    Folsom, CA
    Kathleen Carpenter
    Folsom, CA
    Patrick Henry
    Sacramento, CA

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