Carl James Yee

Current Employers

Employment History

• 05/2016 → 11/2018
  Signator Investors, Inc.
  Honolulu, HI
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Honolulu, HI

Previous Registrations

• 2017-11-21 → 2018-11-02
  Signator Investors, Inc.
  Honolulu, HI
  Honolulu, HI

Other Businesses

1) Insurance Broker: Health and Group Benefits, various carriers, Carl Yee and Associates PO Box 22232 Honolulu, HI 96823-2232, start 1/2014, approx 3-10 hrs mo, 0-2 trading hrs........ 2) Insurance Broker: Health and Group Benefits, PO Box 22232 Honolulu, HI 96823, Real Estate maintenence and help with mgmt, start 1/1990, approx 3-10 hrs mo, 0-2 trading hrs....... 3) CARL YEE POSITION: Insurance Broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 08/01/2019 ADDRESS: 1100 Alakea Street, 23rd Floor, Honolulu HI 96813, United States DESCRIPTION: Insurance brokerage (through Crump or broker dealer insurance affiliate) - meeting and/or communicating with clients/prospects. Gathering information, evaluating client/prospect situations, ascertaining their priorities, development of strategies and goals. Review of existing products within client/situational contexts, goals and objectives. 4) MUN CHARN WONG APARTMENTS POSITION: landlord affiliate NATURE: I am prospectively paid as a landlord affiliate. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 3 START DATE: 01/01/1990 ADDRESS: 3742 Old Pali Road #C, Honolulu HI 96817, United States DESCRIPTION: Property management (volunteer/ed) - 521 Lauiki Street/Century Center condos. Assisting property manager in decision making, oversight and addressing tenant concerns for spouse's family properties. Periodic custodial and landscape maintenance 5) CARL YEE POSITION: insurance broker NATURE: Sole Proprietorship/Insurance Brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 40 START DATE: 03/01/1990 ADDRESS: 3742 Old Pali Road #C, Honolulu HI 96817, United States DESCRIPTION: Insurance brokerage- meeting and/or communicating with clients/prospects. Gathering information, evaluating client/prospect situations, ascertaining their priorities, development of strategies and goals. Review of existing products within client/situational contexts, goals and objectives.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-07-10
• S63 Uniform Securities Agent State Law Examination
  1991-10-07