Billy J. Yeh

CLIFFORD SWAN INVESTMENT COUNSELORS

Pasadena, CA 91105-1965

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CRD#: 4763864

Professional summary

Billy J.h. Yeh is a registered financial advisor currently at CLIFFORD SWAN INVESTMENT COUNSELORS located in Pasadena, California.

Billy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Billy has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Billy J.h. Yeh's CRS (Customer Relationship Summary).

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

July 9, 2025 - Present

CLIFFORD SWAN INVESTMENT COUNSELORS

Office #1: 177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965

RIA

CRD#: 108033

Pasadena, CA

Past

November 23, 2021 - June 17, 2025

STEELPEAK WEALTH, LLC

RIA

CRD#: 165168

WOODLAND HILLS, CA

Past

November 23, 2015 - October 11, 2021

NEWEDGE SECURITIES, LLC

CRD#: 10674

LOS ANGELES, CA

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".

CLIFFORD SWAN INVESTMENT COUNSELORS

CRD#: 108033 / SEC#: 801-56675

RIA

Registered Investment Advisory firm - (7/27/1999 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/9/2025)

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: 11/19/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/27/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2015

General Securities Representative Examination

Current Firm

CLIFFORD SWAN INVESTMENT COUNSELORS

CRD#: 108033 / SEC#: 801-56675

RIA

Registered Investment Advisory firm - (7/27/1999 Approved)

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Contact information

Main Address

177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965

Mailing Address

Phone number

(626) 792-2228

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLIFFORD SWAN ADV PART 2A 10 27 2025 (10/27/2025)

Regulatory assets under management

Total Number of Accounts	2,522
AUM (Assets Under Management)	$ 4,143,559,319

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/21/2025	Cover Page	Report
04/15/2024	Cover Page	Report
08/10/2023	Cover Page	Report

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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Firm Stability Insights

Billy J. Yeh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Billy J.h. Yeh's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEELPEAK WEALTH, LLC

NEWEDGE SECURITIES, LLC

Primary Firm SEC Registration

CLIFFORD SWAN INVESTMENT COUNSELORS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2016

Series 7TO

Date: 3/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2015

Current Firm

CLIFFORD SWAN INVESTMENT COUNSELORS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLIFFORD SWAN INVESTMENT COUNSELORS

TRUST BUT VERIFY

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