CY
CFP

Carol Emma York

27 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
11 advisors
Number of Clients
535 clients
Average Client Portfolio
$1.3M average
Assets Under Management
$692.1M

Fee Structure

Financial Planning:Included in AUM fee
Financial Plan Fee:$500 - $10,000
Hourly Rate:Up to $350/hr

Investment advisory fees are paid quarterly, based on the average daily ending market value of assets under management. The annual fee will not exceed 2.00%. Fees may be negotiable. Financial planning and consulting services are offered at an hourly rate of up to $350 per hour, or on a fixed or recurring fee basis ranging from $500 to $10,000. A $100 annual fee is charged for each corporate account.

Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningFinancial Planning & CoachingHigh Net Worth
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Advisor Information

Office location

73575 El Paseo, Suite 2300, Palm Desert, CA, 92260

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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2017
Denied
Employment History
Current Registrations
Keystone Private Wealth
June 2021 - Present · 4 yrs 7 mos
Previous Registrations
Cypress Wealth Services, LLC
September 2019 - September 2021 · 2 yrs
Fidelity Personal and Workplace Advisors
July 2018 - June 2019 · 11 mos
Strategic Advisers LLC
December 2012 - July 2018 · 5 yrs 7 mos
Fidelity Brokerage Services LLCBroker
December 2012 - June 2019 · 6 yrs 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - January 2012 · 2 yrs 7 mos
Morgan Stanley Smith Barney Broker
June 2009 - January 2012 · 2 yrs 7 mos
Morgan Stanley & CO. IncorporatedBroker
December 2008 - June 2009 · 6 mos
Morgan Stanley & CO. Incorporated
December 2008 - June 2009 · 6 mos
UBS Financial Services INC.
June 2007 - December 2008 · 1 yr 6 mos
UBS Financial Services INC. Broker
June 2007 - December 2008 · 1 yr 6 mos
Ameriprise Financial Services, INC.
December 2002 - November 2006 · 3 yrs 11 mos
Ameriprise Financial Services, INC. Broker
September 1996 - November 2006 · 10 yrs 2 mos
Ids Life Insurance CompanyBroker
September 1996 - July 2006 · 9 yrs 10 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.