Kenneth E. 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.
Kenneth Edward Yee, who also goes by Ken Yee, Kenny Yee, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2005. Kenneth had worked at 8 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2013 - October 21, 2013
WADDELL & REED
July 25, 2013 - October 21, 2013
WADDELL & REED
January 16, 2009 - August 1, 2011
GROVE POINT INVESTMENTS, LLC
January 16, 2009 - August 1, 2011
GROVE POINT INVESTMENTS, LLC
October 13, 2008 - November 21, 2008
NYLIFE SECURITIES LLC
August 15, 2008 - August 18, 2008
NATIONAL PLANNING CORPORATION
May 23, 2007 - December 17, 2007
LPL FINANCIAL LLC
May 23, 2007 - December 17, 2007
LPL FINANCIAL LLC
February 13, 2007 - April 4, 2007
ASSOCIATED SECURITIES CORP.
February 13, 2007 - April 4, 2007
ASSOCIATED SECURITIES CORP.
June 29, 2006 - January 10, 2007
FSC SECURITIES CORPORATION
June 29, 2006 - January 10, 2007
FSC SECURITIES CORPORATION
March 31, 2006 - June 14, 2006
WADDELL & REED
March 31, 2006 - June 14, 2006
WADDELL & REED
May 23, 2005 - November 23, 2005
MORGAN STANLEY DW INC.
February 21, 2005 - November 23, 2005
MORGAN STANLEY DW 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
