Wei Ye
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.
Wei Ye, CFP®, who also goes by Rebecca Ye, was a registered financial professional .
Wei is a previously registered financial professional and started their career in finance in 2004. Wei had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2020
Education
Loyola University
Master Degree - Computer Science
1998
Experience
July 13, 2018 - March 6, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 13, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
November 17, 2017 - March 5, 2024
FIDELITY BROKERAGE SERVICES LLC
May 6, 2016 - November 24, 2017
J.P. MORGAN SECURITIES LLC
May 6, 2016 - November 24, 2017
J.P. MORGAN SECURITIES LLC
March 14, 2014 - November 25, 2015
PRUCO SECURITIES, LLC.
March 20, 2013 - November 25, 2015
PRUCO SECURITIES, LLC.
September 18, 2008 - February 28, 2013
MML INVESTORS SERVICES, LLC
June 16, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 16, 2004 - September 22, 2008
MSI FINANCIAL SERVICES, INC.
March 23, 2004 - June 2, 2004
WORLD GROUP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Vice President Private Wealth Management AdvisorCRD#: 288590TRUST BUT VERIFY
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