Inactive

Humberto Yee-Flores

Edelman Financial Engines

CRD 5237691

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Employer firm

Edelman Financial Engines CRD 104510

$326B regulatory AUM 322,130 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-04-07
AZ	RA	APPROVED	2019-02-13

TX RA
APPROVED

Since 2020-04-07
AZ RA
APPROVED

Since 2019-02-13

Branch Locations

Avondale, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Scottsdale	AZ	04/2014	09/2018
Financial Engines Advisors L.L.C.	Phoenix	AZ	11/2018	10/2020
Financial Engines Advisors, L.L.C.	Santa Clara	CA	10/2020	Present

04/2014 → 09/2018

The Vanguard Group, Inc.

Scottsdale, AZ
11/2018 → 10/2020

Financial Engines Advisors L.L.C.

Phoenix, AZ
10/2020 → Present

Financial Engines Advisors, L.L.C.

Santa Clara, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-01-30
S63	Uniform Securities Agent State Law Examination	2006-11-30

S65 Uniform Investment Adviser Law Examination

2019-01-30
S63 Uniform Securities Agent State Law Examination

2006-11-30

Other Names

Humberto Flores
Humberto Yee Flores
Humberto Yee-Flores
Humberto Yee-Flores
Humberto Yee-Flores
Humberto Yee Flores

View on SEC IAPD

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