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KY

Kevin Yee

BROOKER WEALTH MANAGEMENT
SAN RAMON, CA 94583
Some features on this profile are disabled
CRD#: 7156856
KY

Professional summary

Kevin Yee is a registered financial advisor currently at BROOKER WEALTH MANAGEMENT located in San Ramon, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Kevin has worked at 3 firms and has passed the Series 65 and SIE 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 Kevin Yee's CRS (Customer Relationship Summary).
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 18, 2025 - Present

BROOKER WEALTH MANAGEMENT

Office #1: 2633 Camino Ramon Ste 525, San Ramon, CA 94583
RIA
CRD#: 105437
SAN RAMON, CA
Past

July 2, 2024 - July 10, 2025

FOCUS PARTNERS WEALTH, LLC

RIA
CRD#: 159289
MORGAN HILL, CA
Past

November 16, 2020 - November 14, 2024

BUCKINGHAM STRATEGIC WEALTH, LLC

RIA
CRD#: 143323
MORGAN HILL, 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".
BW
BROOKER WEALTH MANAGEMENT
BROOKER JOHN W & CO CPA PC | JOHN W. BROOKER & CO., CPAS,PC | JOHN W. BROOKER & CO., CPAS, PC | BROOKER WEALTH MANAGEMENT

CRD#: 105437 / SEC#: 801-19247

RIA
Registered Investment Advisory firm - (7/15/1983 Approved)

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
California
(12/18/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/14/2020
Securities Industry Essentials Examination

Current Firm

BW
BROOKER WEALTH MANAGEMENT
BROOKER JOHN W & CO CPA PC | JOHN W. BROOKER & CO., CPAS,PC | JOHN W. BROOKER & CO., CPAS, PC | BROOKER WEALTH MANAGEMENT

CRD#: 105437 / SEC#: 801-19247

RIA
Registered Investment Advisory firm - (7/15/1983 Approved)
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Contact information

Main Address
7677 Oakport Street Suite 300, Oakland, CA 94621
Mailing Address
Phone number
(510) 638-1815
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKER WEALTH MANAGEMENT FIRM BROCHURE PART 2A & 2B - FEBRUARY 2025 (2/18/2026)

Regulatory assets under management

Total Number of Accounts145
AUM (Assets Under Management)$ 136,383,187

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

BROOKER WEALTH MANAGEMENT

CRD#: 105437San Ramon, CA 94583

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