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BY

Brandon Yee

EMERGENT FORTUITY FINANCIAL
PLANTATION, FL 33324
Some features on this profile are disabled
CRD#: 6405723
BY

Professional summary

Brandon Yee is a registered financial advisor currently at EMERGENT FORTUITY FINANCIAL, LLC located in Plantation, Florida.

Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Brandon has worked at 2 firms and has passed the Series 66, 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 Brandon Yee'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®
None

Experience

Current

December 20, 2018 - Present

EMERGENT FORTUITY FINANCIAL, LLC

Office #1: 7777 Davie Rd Ext. #302b, Plantation, FL 33324
RIA
CRD#: 299328
PLANTATION, FL
Past

January 7, 2015 - November 30, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PLANTATION, FL
Past

December 1, 2014 - November 30, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PLANTATION, FL

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
Florida
(12/20/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/2014
General Securities Representative Examination

Current Firm

EF
EMERGENT FORTUITY FINANCIAL, LLC
EMERGENT FORTUITY FINANCIAL, LLC

CRD#: 299328 / SEC#:

Florida
Registered Investment Advisory firm - (12/20/2018 Approved)
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Contact information

Main Address
7777 Davie Rd Ext. #302b, Plantation, FL 33324
Mailing Address
Phone number
(754) 239-4014
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts44
AUM (Assets Under Management)$ 2,811,831

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

EMERGENT FORTUITY FINANCIAL, LLC

CRD#: 299328Plantation, FL 33324

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