Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carr Yee is an active securities professional with over 25 years of experience in the financial services industry. James currently works at Wedbush Securities Inc., where he has been employed since August 2017. Previously, James was employed at Newport Coast Securities, Inc., GLB TRADING, INC, Computer Clearing Services Inc, Schonfeld Securities, LLC, J.B. Oxford & Company, Reynolds Kendrick Stratton, Inc., and First American Biltmore Securities, Inc. James is registered with FINRA and holds Series 7, 24, 55, 57TO, 63, 99TO and SIE licenses. James has a strong track record of providing financial advice to individuals, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
08/29/2017 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
02/25/2009 - 06/27/2016
NEWPORT COAST SECURITIES, INC. (IRVINE CA)
CA
01/25/2006 - 12/31/2008
GLB TRADING, INC (IRVINE CA)
CA
05/12/2004 - 11/16/2005
COMPUTER CLEARING SERVICES INC (GLENDALE CA)
NY
03/27/2001 - 06/17/2003
SCHONFELD SECURITIES, LLC (JERICHO NY)
CA
01/25/1994 - 03/02/2001
J.B. OXFORD & COMPANY (SHERMAN OAKS CA)
NA
11/04/1992 - 12/31/1993
REYNOLDS KENDRICK STRATTON, INC.
NA
07/20/1992 - 11/13/1992
FIRST AMERICAN BILTMORE SECURITIES, INC.
BC
Issued 07/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/2019
Series 24 - General Securities Principal Examination
BC
Issued 02/21/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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