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Yvonne Nadine Prince

CWM, LLC

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About Yvonne Nadine Prince

Yvonne Nadine Prince is an investment advisor representative with CWM, LLC, located in Glendora, California. Yvonne has been in the financial services industry since 2004. Yvonne is registered with the state of California as both a broker-dealer and an investment advisor representative. She has passed the Series 6, 7, 63, and 65 exams. Yvonne provides financial planning, investment management, and estate planning services to a wide range of clients, including individuals, families, businesses, and trusts. Before joining CWM, LLC, Yvonne worked for LPL Financial LLC, Graves Financial Wealth Management, and Linsco Private Ledger.

Firm Information

Yvonne Prince is currently registered with CWM, LLC. CWM, LLC is a registered investment adviser based in Omaha, NE, with over 475 investment adviser representatives. The firm manages a total of $26.77 billion in client assets, primarily for high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and pension and profit-sharing plans. The firm offers advisory services such as financial planning, portfolio management for individuals, selection of other advisers, and sub-advisory services for other investment advisory firms. The firm also participates in wrap fee programs.
CWM, LLC

14600 BRANCH ST.

OMAHA, NE 68154

$26.77B

Assets Under Management

629

Total Clients

448

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sub-advisory services for other investment advisory firms

Sub-advisory services for other investment advisory firms

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitor fees from other investment advisors

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Yvonne Prince’s Registration & Firm History

CA

03/20/2017 - Present

CWM, LLC (Glendora CA)

CA

04/09/2004 - 01/19/2017

LPL FINANCIAL LLC (GLENDORA CA)

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Licenses & Designations

IA

Issued 12/02/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/09/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/04/2014

Series 7 - General Securities Representative Examination

BC

Issued 04/08/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Yvonne Nadine Prince.
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