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ALEXANDER GLENN YEE
CRD#: 6232212
IA
B
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 Fairfield, CT
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 Fairfield, CT
0
Disclosures
11
Years of Experience
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State Registrations
B
Connecticut 9/23/2022
B
New Hampshire 9/23/2022
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Connecticut 11/21/2022
B
New York 9/23/2022
B
Maine 9/23/2022
B
Rhode Island 9/23/2022
B
Massachusetts 9/23/2022
B
Vermont 9/23/2022
SRO Registrations
B
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IA
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Registered with this firm since 9/23/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/26/2014 - 09/19/2022 | STAMFORD, CT | |
B | 01/13/2014 - 08/28/2014 | MELVILLE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.