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Timothy R. Yee
INDEPENDENT FINANCIAL GROUP
Alameda, CA 94501
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CRD#: 2492578
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Professional summary
Timothy Richard Yee is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Alameda, California.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Timothy has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) GREEN RETIREMENT, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 250 SECURITIES TRADING HOURS: 156 START DATE: 08/11/2020 ADDRESS: 1030 Marina Village Parkway P13, Alameda CA 94501, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) B CORPORATION POSITION: Founding member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 12/01/2007 ADDRESS: 1030 Marina Village Parkway P13, Alameda CA 94501, United States DESCRIPTION: Attend conferences.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Richard Yee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Richard Yee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 8, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1030 Marina Village Parkway P13, Alameda, CA 94501RIA
BD
CRD#: 7717
Alameda, CA
Current
July 8, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1030 Marina Village Parkway P13, Alameda, CA 94501RIA
BD
CRD#: 7717
Alameda, CA
Past
May 30, 2014 - June 10, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALAMEDA, CA
Past
May 30, 2014 - June 10, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
ALAMEDA, CA
Past
October 23, 2006 - June 2, 2014
SII INVESTMENTS, INC.
RIA
CRD#: 2225
OAKLAND, CA
Past
October 23, 2006 - June 2, 2014
SII INVESTMENTS, INC.
BD
CRD#: 2225
OAKLAND, CA
Past
October 31, 2005 - November 1, 2006
OSAIC SERVICES, INC.
RIA
CRD#: 133763
WALNUT CREEK, CA
Past
October 31, 2005 - November 1, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
WALNUT CREEK, CA
Past
January 27, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
WALNUT CREEK, CA
Past
December 1, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 3, 2001 - November 5, 2004
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
WALNUT CREEK, CA
Past
December 7, 2000 - October 4, 2004
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
July 12, 1999 - September 29, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 29, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
September 14, 1994 - December 13, 1996
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/25/2024)
RR
California(7/8/2015)
IAR
California(7/8/2015)
RR
Connecticut(7/8/2015)
RR
District of Columbia(2/24/2016)
RR
Idaho(7/8/2015)
RR
Illinois(3/24/2021)
RR
Louisiana(8/1/2024)
RR
Maine(3/31/2025)
RR
Maryland(2/26/2016)
RR
Massachusetts(3/9/2021)
RR
Minnesota(8/14/2017)
RR
New Jersey(7/8/2015)
RR
New York(7/8/2015)
RR
North Carolina(11/19/2021)
RR
Ohio(11/19/2021)
RR
Oregon(8/4/2015)
RR
Pennsylvania(7/8/2015)
RR
Rhode Island(7/8/2015)
RR
South Carolina(7/8/2015)
IAR
Texas(7/8/2015)
RR
Texas(8/3/2015)
RR
Vermont(8/5/2015)
RR
Virginia(7/8/2015)
RR
Washington(7/8/2015)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
