Yee Ki Wan

Current Employers

Employment History

• 12/2005 → 03/2018
  Charles Schwab& Co., Inc.
  Sacramento, CA
• 01/2006 → 03/2018
  Charles Schwab& Co., Inc.
  Sacramento, CA
• 03/2018 → 07/2018
  Unemployed
  Sacramento, CA
• 07/2018 → Present
  Kw Wealth Management Llc
  Sacramento, CA
• 01/2020 → Present
  Cbc Securities
  Newton, MA

Previous Registrations

• 2006-02-16 → 2018-03-30
  Charles Schwab & Co., Inc.
  Sacramento, CA
  Menlo Park, CA

Other Businesses

Yee Ki Wan is a licensed insurance agent and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. KWML always acts in the best interest of the client; including the sale of commission-able products to advisory clients. Clients are in no way required to utilize the services of any representative of KWML in connection with such individual's activities outside of KWML. Clients always have the right to decide whether or not to utilize the services of any representative of KWML in such individual's outside capacities. CBC SECURITIES, INC.; investment related: Yes; Location of the business: 20 CHESTNUT ST SUITE 8 NEEDHAM, MA 02492; Description of the business: Concordia Boston Capital's mission is to help local and global executives and entrepreneurs grow their businesses so they can create jobs, offer customers better products and services, realize personal satisfaction and wealth, and fund programs that make the world a better place with peace, concordia and prosperity. ; Position Title: Broker; Responsibilities Duties: Yee Ki Wan will provide financial commentary for informational and education purposes only but nothing herein constitutes investment, legal, accounting or tax advice, or a recommendation to buy, sell or hold a security. Any views or opinions expressed may not reflect those of the firm as a whole.; Start date with business: 2020-01-10; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 1.

Exams

• S66 Uniform Combined State Law Examination
  2006-02-11
• S63 Uniform Securities Agent State Law Examination
  1999-12-21

Other Names

• Yee Ki Wan
• Eki Wan
• Eki Yeeki Wan
• Kimmy Wan