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Yee Ki Wan
EKI YEEKI WAN, EKI WAN, KIMMY WAN, YEE KI WAN
CRD#: 3078166
IA
Investment Adviser
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Broker
KW WEALTH MANAGEMENT LLCCRD#: 298466 SACRAMENTO, CA
CBC SECURITIES, INC.CRD#: 46153 2377 Gold Meadow Way
Suite 100
Gold River, CA 95670
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2018 (12 years)BCBC SECURITIES, INC. (CRD# 46153)2020 - Present (5 years)IAKW WEALTH MANAGEMENT LLC (CRD# 298466)2018 - Present (6 years)BE*TRADE SECURITIES LLC (CRD# 29106)1999 - 2006 (6 years)
Disclosure(s)
View By:
3/16/2018
Employment Separation After Allegations
License(s)

State Registrations

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California 9/14/2018

B
Massachusetts 2/4/2020

B
California 1/27/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CBC SECURITIES, INC. (CRD#:46153)
2377 Gold Meadow Way Suite 100, Gold River, CA 95670
Registered with this firm since 1/10/2020

IA
KW WEALTH MANAGEMENT LLC (CRD#:298466)
SACRAMENTO, CA
Registered with this firm since 9/14/2018

Previous Registration(s)
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02/16/2006 - 03/30/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) SACRAMENTO, CA
B
01/18/2006 - 03/30/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) SACRAMENTO, CA
B
11/02/1999 - 02/02/2006 E*TRADE SECURITIES LLC (CRD#:29106) JERSEY CITY, NJ
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.