Warren Yee

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CRD#: 4578937

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.

Warren Yee was a registered financial professional .

Warren is a previously registered financial professional and started their career in finance in 2002. Warren had worked at 12 firms and has passed the Series 66, Series 6TO, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 15, 2022 - January 29, 2024

RETIREMENT WELLNESS GROUP

RIA

CRD#: 297255

PASADENA, CA

Past

March 15, 2022 - November 23, 2024

ADDWEALTH ADVISORS, LLC

RIA

CRD#: 306554

PASADENA, CA

Past

November 18, 2021 - December 31, 2024

BRIDGE ADVISORY LLC

RIA

CRD#: 148282

PASADENA, CA

Past

January 16, 2020 - November 8, 2021

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

GLENDALE, CA

Past

January 16, 2020 - November 8, 2021

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

GLENDALE, CA

Past

April 25, 2006 - August 2, 2007

NATIONAL INVESTOR SERVICES CORP.

CRD#: 39410

BELLEVUE, NE

Past

April 25, 2006 - November 20, 2018

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

August 5, 2004 - January 8, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Long Beach, CA

Past

August 5, 2004 - January 8, 2020

TD AMERITRADE, INC.

CRD#: 7870

BEVERLY HILLS, CA

Past

September 3, 2003 - July 29, 2004

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

WALNUT CREEK, CA

Past

September 3, 2003 - July 29, 2004

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

June 25, 2003 - September 2, 2003

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LAFAYETTE, CA

Past

June 20, 2003 - September 2, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 20, 2003 - September 2, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

December 10, 2002 - June 17, 2003

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

October 25, 2002 - November 8, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 25, 2002 - November 8, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

RETIREMENT WELLNESS GROUP

RETIREMENT WELLNESS GROUP | RETIREMENT WELLNESS GROUP LLC

CRD#: 297255 / SEC#: 801-113447

RIA

Registered Investment Advisory firm - (6/15/2018 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/27/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 10/3/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2022

General Securities Principal Examination

Current Firm

RETIREMENT WELLNESS GROUP

RETIREMENT WELLNESS GROUP | RETIREMENT WELLNESS GROUP LLC

CRD#: 297255 / SEC#: 801-113447

RIA

Registered Investment Advisory firm - (6/15/2018 Approved)

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Contact information

Main Address

123 South Marengo Ave. Suite 200, Pasadena, CA 91101

Mailing Address

Phone number

(949) 757-1799

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWG ADV PART 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 523,670,881

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.

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Advisor Monitoring

Firm Stability Insights

Warren Yee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ADDWEALTH ADVISORS, LLC

BRIDGE ADVISORY LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

NATIONAL INVESTOR SERVICES CORP.

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

RETIREMENT WELLNESS GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2003

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 10/3/2022

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2002

Series 24

Date: 10/3/2022

Current Firm

RETIREMENT WELLNESS GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT WELLNESS GROUP

TRUST BUT VERIFY

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