Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Thomas Yee is a financial professional with over 15 years of experience in the financial services industry. Scott Yee is currently registered with Wells Fargo Clearing Services, LLC and has previously held positions with J.P. Morgan Securities LLC, Allstate Financial Services, LLC, Securities America, Inc., Citigroup Global Markets Inc., and Morgan Stanley. Scott Thomas Yee is licensed to provide investment advice in California and is also a Registered Representative. Scott Yee holds the Series 66, Series 7, and SIE licenses. Scott Yee specializes in 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.
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.
Investment consulting services to institutional clients
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.
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2
CA
07/25/2024 - Present
Wells Fargo Clearing Services, LLC (SAN LORENZO CA)
IL
06/28/2022 - 11/16/2023
J.P. MORGAN SECURITIES LLC (Chicago IL)
NY
12/11/2020 - 09/15/2021
ALLSTATE FINANCIAL SERVICES, LLC (New York NY)
CA
02/21/2020 - 11/05/2020
SECURITIES AMERICA, INC. (SAN JOSE CA)
NY
05/06/2019 - 01/17/2020
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/26/2018 - 04/24/2019
MORGAN STANLEY (NEW YORK NY)
BOTH
Issued 11/28/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2018
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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