Scott A. Yi
Professional summary
Scott Allen Yi is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in San Francisco, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Scott has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott Allen Yi's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2017 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 201 Mission Street Suite 1825, San Francisco, CA 94105October 30, 2012 - May 24, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 29, 2012 - May 24, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 22, 2005 - October 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2005 - October 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037 / SEC#: 801-62988
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/14/2017)
(6/19/2017)
Exams
Current Firm
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037 / SEC#: 801-62988
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
Red Flags
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