Yee Ki Wan
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Yee Ki Wan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2018 - Present
KW WEALTH MANAGEMENT LLC
January 10, 2020 - Present
CBC SECURITIES, INC.
Office #1: 250 Hammond Pond Parkway Unit 1412n, Newton, MA 02467February 16, 2006 - March 30, 2018
CHARLES SCHWAB & CO., INC.
January 18, 2006 - March 30, 2018
CHARLES SCHWAB & CO., INC.
November 2, 1999 - February 2, 2006
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
KW WEALTH MANAGEMENT LLC
CRD#: 298466 / SEC#: 801-131526
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/14/2018)
(1/27/2020)
(2/4/2020)
Exams
FINRA
Current Firm
KW WEALTH MANAGEMENT LLC
CRD#: 298466 / SEC#: 801-131526
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 211 |
| AUM (Assets Under Management) | $ 121,903,775 |
Red Flags
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