Thomas H. Yee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Hop Yee was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2007 - January 5, 2015
NAVY FEDERAL ASSET MANAGEMENT, LLC
September 21, 2006 - September 8, 2007
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 11, 2006 - January 5, 2015
NAVY FEDERAL INVESTMENT SERVICES, LLC
October 9, 2001 - September 21, 2006
CUNA BROKERAGE SERVICES, INC.
July 25, 2000 - May 26, 2006
CUNA BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
NAVY FEDERAL ASSET MANAGEMENT, LLC
CRD#: 144244 / SEC#:
Contact information
Red Flags
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