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Paul W. Yeh
AXOS INVEST,
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 5532841
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Professional summary
Paul Way Yeh, who also goes by Paul Way Yeh, Way Paul Yeh, Way Yeh, Paul Yeh, is a registered financial advisor currently at AXOS INVEST, INC located in San Diego, California and AXOS INVEST LLC located in San Diego, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 7 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Way Yeh | Way Paul Yeh | Way Yeh | Paul Yeh
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.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Way Yeh's 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®
NoneExperience
Current
December 11, 2025 - Present
AXOS INVEST, INC
Office #1: 4350 La Jolla Village Dr, Ste 140, San Diego, CA 92122RIA
CRD#: 150953
San Diego, CA
Current
June 28, 2024 - Present
AXOS INVEST LLC
Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122BD
CRD#: 172393
San Diego, CA
Current
June 28, 2024 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118BD
CRD#: 117176
Omaha, NE
Past
September 26, 2017 - April 21, 2020
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
EL SEGUNDO, CA
Past
April 28, 2017 - April 21, 2020
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 28, 2017 - April 21, 2020
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
EL SEGUNDO, CA
Past
April 28, 2017 - April 21, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
August 15, 2013 - April 26, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 14, 2012 - April 26, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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".
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/24/2024)
IAR
California(12/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/12/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
Phone number
(858) 376-6055
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,625 |
| AUM (Assets Under Management) | $ 146,996,118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/21/2025 | ||
| 03/04/2024 | ||
| 01/27/2023 |
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.
