YW
Yee Ki Wan
KW WEALTH MANAGEMENT LLC
Sacramento, CA
Some features on this profile are disabled
CRD#: 3078166
YW
Professional summary
Yee Ki Wan, who also goes by Eki Yeeki Wan, Eki Wan, Kimmy Wan, Yee Ki Wan, is a registered financial advisor currently at KW WEALTH MANAGEMENT LLC located in Sacramento, California and CBC SECURITIES, INC. located in Newton, Massachusetts.
Yee Ki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Yee Ki has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eki Yeeki Wan | Eki Wan | Kimmy Wan | Yee Ki Wan
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.
Yee Ki Wan is a licensed insurance agent and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. KWML always acts in the best interest of the client; including the sale of commission-able products to advisory clients. Clients are in no way required to utilize the services of any representative of KWML in connection with such individual's activities outside of KWML. Clients always have the right to decide whether or not to utilize the services of any representative of KWML in such individual's outside capacities.
CBC SECURITIES, INC.; investment related: Yes; Location of the business: 20 CHESTNUT ST SUITE 8 NEEDHAM, MA 02492; Description of the business: Concordia Boston Capital's mission is to help local and global executives and entrepreneurs grow their businesses so they can create jobs, offer customers better products and services, realize personal satisfaction and wealth, and fund programs that make the world a better place with peace, concordia and prosperity. ; Position Title: Broker; Responsibilities Duties: Yee Ki Wan will provide financial commentary for informational and education purposes only but nothing herein constitutes investment, legal, accounting or tax advice, or a recommendation to buy, sell or hold a security. Any views or opinions expressed may not reflect those of the firm as a whole.; Start date with business: 2020-01-10; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 1.
CRS (Client Relationship Summary) - RIA
Click below to view Yee Ki Wan'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
September 14, 2018 - Present
KW WEALTH MANAGEMENT LLC
RIA
CRD#: 298466
Sacramento, CA
Current
January 10, 2020 - Present
CBC SECURITIES, INC.
Office #1: 250 Hammond Pond Parkway Unit 1412n, Newton, MA 02467BD
CRD#: 46153
Newton, MA
Past
February 16, 2006 - March 30, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SACRAMENTO, CA
Past
January 18, 2006 - March 30, 2018
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SACRAMENTO, CA
Past
November 2, 1999 - February 2, 2006
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
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".
KW
KW WEALTH MANAGEMENT LLC
KW WEALTH MANAGEMENT LLC
CRD#: 298466 / SEC#: 801-131526
RIA
Registered Investment Advisory firm - (11/27/2024 Approved)California
Registered Investment Advisory firm - (1/2/2025 Terminated)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
IAR
California(9/14/2018)
RR
California(1/27/2020)
RR
Massachusetts(2/4/2020)
Exams
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
SRO Registrations
RR
FINRA
Current Firm
KW
KW WEALTH MANAGEMENT LLC
KW WEALTH MANAGEMENT LLC
CRD#: 298466 / SEC#: 801-131526
RIA
Registered Investment Advisory firm - (11/27/2024 Approved)California
Registered Investment Advisory firm - (1/2/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Sacramento, CA
Mailing Address
Phone number
(916) 758-9218
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 213 |
| AUM (Assets Under Management) | $ 101,992,766 |
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.
