Nicholas N. Yee

VOYA FINANCIAL ADVISORS

Honolulu, HI 96813

Some features on this profile are disabled

CRD#: 2859272

Professional summary

Nicholas Nitta Yee, who also goes by Nicholas Nitta Yee Mr., Nicholas Yee, Nick Yee, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Honolulu, Hawaii.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nicholas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Nitta Yee Mr. | Nicholas Yee | Nick Yee

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.

NAME OF ENTITY:Eye Productions, Inc; No; 605 KAPIOLANI BLVD; HONOLULU; HI; 96813; Extra on TV shows; Extra/Actor; 7/6/2012; 32; 32; extra on television shows that are shot in Hawaii|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 711 KAPIOLANI BLVD STE 100; HONOLULU; HI; 96813; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/5/2009; 6; 6; FIXED INSURANCE AND FIXED ANNUITIES.|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Nitta Yee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Nitta Yee's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 3, 2011 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: 711 Kapiolani Blvd Suite 1400, Honolulu, HI 96813

RIA

CRD#: 2882

Honolulu, HI

Current

January 3, 2011 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: 711 Kapiolani Blvd Suite 1400, Honolulu, HI 96813

RIA

CRD#: 2882

Honolulu, HI

Past

January 25, 2007 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

HONOLULU, HI

Past

January 25, 2007 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

HONOLULU, HI

Past

May 12, 2006 - January 12, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HONOLULU, HI

Past

July 13, 2005 - January 20, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

August 27, 2004 - July 22, 2005

DFC INVESTOR SERVICES

CRD#: 18558

CHINO HILLS, CA

Past

April 9, 2003 - June 2, 2004

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

May 23, 2001 - November 4, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

September 18, 2000 - May 21, 2001

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

February 25, 1997 - September 20, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston 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.

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

Hawaii
(1/3/2011)

IAR

Hawaii
(1/3/2011)

Massachusetts
(1/3/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/22/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/21/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

One Orange Way, Windsor, CT 06095

Phone number

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

Regulatory assets under management

Total Number of Accounts	11,854
AUM (Assets Under Management)	$ 2,744,735,129

Disclosures

Regulatory Event	36
Arbitration	9

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.

Similar Advisors

Racquel Nakata

EQUITABLE ADVISORS, LLC

IAR

Honolulu, HI

Bradford Tom

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Honolulu, HI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas N. Yee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Nitta Yee's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Nitta Yee's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

CETERA WEALTH SERVICES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

DFC INVESTOR SERVICES

ALLSTATE FINANCIAL SERVICES, LLC

EDWARD JONES

SENTRA SECURITIES CORPORATION

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2006

Series 63

Date: 3/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/8/2000

Series 6

Date: 2/21/1997

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors