Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Glenn Yee is a registered representative with Principal Asset Management in Fairfield, CT. Alexander Yee has been in the securities industry since January 15, 2014. He has been registered with Principal Asset Management since November 21, 2022, and prior to that he was registered with FRANKLIN DISTRIBUTORS, LLC and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. Alexander Yee is a Series 6, 7, 63 and 66 licensed professional. He holds the SIE designation. He is a graduate of Fairfield University. Alexander Yee is active in the Connecticut, Maine, Massachusetts, New Hampshire, New York, Rhode Island and Vermont financial markets.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Spread lending management and advice; asset allocation services; providing model portfolios
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Charge on a cost allocation basis to principal life
1
2
CT
11/21/2022 - Present
Principal Asset Management (Fairfield CT)
CT
08/26/2014 - 09/19/2022
FRANKLIN DISTRIBUTORS, LLC (STAMFORD CT)
NY
01/13/2014 - 08/28/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MELVILLE NY)
BOTH
Issued 11/18/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/08/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2014
Series 7 - General Securities Representative Examination
BC
Issued 01/13/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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