Yee Wan is a registered investment advisor, based in Sacramento, CA, with 25 years of industry experience.
Location
Sacramento, CA
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Regulatory History (1)
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Employment Separation After Allegations
March 2018Other Business ActivitiesSells Insurance
Yee is a licensed insurance agent who may offer clients insurance products, which presents a conflict of interest. Yee also works as a broker for CBC Securities, providing financial commentary for informational and educational purposes, dedicating minimal time to this role outside of trading hours.
Employment History
Current Registrations
Cbc Securities, INC.Broker
January 2020 - Present · 6 yrs 4 mos
Cbc Securities, INC.
January 2020 - Present · 6 yrs 4 mos
Kw Wealth Management LLC
September 2018 - Present · 7 yrs 8 mos
Previous Registrations
Charles Schwab & CO., INC.
February 2006 - March 2018 · 12 yrs 1 mo
Charles Schwab & CO., INC.Broker
January 2006 - March 2018 · 12 yrs 2 mos
E*trade Securities LLCBroker
November 1999 - February 2006 · 6 yrs 3 mos
State Registrations2 states
CAMA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.