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YY

Yale H. Yee

FINANCIAL TELESIS
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 4244326
YY

Professional summary

Yale Han Yee is a registered financial professional currently at FINANCIAL TELESIS INC located in Santa Monica, California.

Yale is registered as a RR (Registered Representative) and started their career in finance in 2000. Yale has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yale Han 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®
None

Experience

Current

September 16, 2013 - Present

FINANCIAL TELESIS INC

Office #1: 1460 4th St., Santa Monica, CA 90401
BD
CRD#: 31012
Santa Monica, CA
Past

July 16, 2010 - April 16, 2013

MONTGOMERY & CO., LLC

BD
CRD#: 42300
SANTA MONICA, CA
Past

September 7, 2006 - April 3, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
SAN FRANCISCO, CA
Past

October 3, 2000 - February 28, 2006

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(9/16/2013)
RR
New York
(11/15/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FT
FINANCIAL TELESIS INC
FINANCIAL TELESIS INC | JHW FINANCIAL SERVICES INC. | FINANCIAL TELESIS, INC. | FINANCIAL TELESIS INC.

CRD#: 31012 / SEC#: 801-63974, 8-45304

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Mailing Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Phone number
(415) 526-2759
Established
California since 11/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/31/2014)

Direct owners and executive officers

NamePositionCRD#
COLLINS, ELIZABETH SARAHPRESIDENT, CFO, FINOP, CCO4714831
WILLIAMS, JAMES HOUSTONPRINCIPAL1482414

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.

Company Information

FINANCIAL TELESIS INC

CRD#: 31012Santa Monica, CA 90401

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