DY
Damon S. Yee
CENTAURUS FINANCIAL
San Jose, CA 95131
Some features on this profile are disabled
CRD#: 6894933
DY
Professional summary
Damon Shigeru Yee, who also goes by Damon Yee, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in San Jose, California.
Damon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Damon has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Damon Yee
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.
1. CGM RISK MANAGEMENT AND INSURANCE SERVICES, NON-INVESTMENT RELATED, 1580 OAKLAND ROAD, SUITE C114, SAN JOSE, CA 95131, PROPERTY AND CASUALTY INSURANCE SALES, AGENT, SINCE 6/19/2018, DEVOTED TIME IS 10 HOURS A MONTH, ENGAGE IN SALES AND SERVICE OF PROPERTY AND CASUALTY INSURANCE.
2. TRUE NORTH ADVISORS, NON-INVESTMENT RELATED, 1580 OAKLAND ROAD, SUITE C114, SAN JOSE, CA 95131, DBA, INVESTMENT ADVISOR REPRESENTATIVE, SINCE 3/1/2018.
3. TRUE NORTH FINANCIAL AND INSURANCE SERVICES, INC., NON-INVESTMENT RELATED, 1580 OAKLAND ROAD, SUITE C114, SAN JOSE, CA 95131, TO PROCESS INCOME AND EXPENSES RELATED TO THE OPERATION OF FINANCIAL SERVICES PROVIDED BY CENTAURUS FINANCIAL INC, THROUGH TRUE NORTH ADVISORS, DBA, CHIEF EXECUTIVE OFFICER, PRESIDENT, SINCE 1/1/2018, DEVOTED TIME IS 20 HOURS A MONTH, CORPORATE ENTITY FOR ACCUMULATING EXPENSES, AND CONSOLIDATING INCOME FOR TAX PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view Damon Shigeru Yee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Damon Shigeru 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®
NoneExperience
Current
January 19, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1580 Oakland Road Suite #c114, San Jose, CA 95131RIA
BD
CRD#: 30833
San Jose, CA
Current
February 27, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1580 Oakland Road Suite #c114, San Jose, CA 95131RIA
BD
CRD#: 30833
San Jose, 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".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(3/5/2018)
IAR
Arizona(3/6/2018)
IAR
California(1/19/2018)
RR
California(2/27/2018)
RR
Colorado(9/5/2019)
IAR
Colorado(10/10/2019)
RR
Florida(4/1/2025)
IAR
Florida(9/26/2025)
RR
Illinois(10/2/2025)
IAR
Illinois(10/7/2025)
RR
Nevada(3/15/2018)
IAR
Nevada(3/15/2018)
IAR
New York(7/7/2025)
RR
Oregon(3/5/2018)
IAR
Oregon(3/5/2018)
RR
Texas(10/9/2019)
IAR
Texas(10/9/2019)
RR
Washington(6/13/2018)
IAR
Washington(10/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806
Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806
Phone number
(714) 456-1790
Established
California since 08/27/1992
Firm type
Corporation
Fiscal year end
April
Firm Size
Large
# of Employees
580
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
