Yee Ki Wan
Investment Adviser Representative at KW Wealth Management LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Yee Ki Wan is an investment adviser representative with KW Wealth Management LLC in Gold River, CA, where they have been registered since 2018. They have worked in the securities industry since 2000 and were previously registered with Charles Schwab & Co., Inc. They have passed 7 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
2 states and territories
California, Massachusetts
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Charles Schwab& Co., Inc.Dec 2005 – Mar 2018Sacramento, CA
- Charles Schwab& Co., Inc.Jan 2006 – Mar 2018Sacramento, CA
- UnemployedMar 2018 – Jul 2018Sacramento, CA
- KW Wealth Management LLCJul 2018 – no end date reportedSacramento, CA
- CBC SecuritiesJan 2020 – no end date reportedNewton, MA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About KW Wealth Management LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $500,000
- $0 - $250,0001.35%
- $250,001 - $500,0001.20%
- $500,001 - $1,000,0001.00%
- $1,000,001 - $3,000,0000.90%
+1 more tiers
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Yee Ki Wan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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