Yee Ki Wan has been Managing Member & Chief Compliance Officer of KW Wealth Management since July 2018, is a control person of the firm and directly owns 75% or more of it.
KW Wealth Management LLC is a firm with $122M under management, 80 clients and 1 adviser across 2 offices, as of its February 2026 filing.
Yee Ki Wan’s longest registration was 12 years at Charles Schwab & Co., Inc. (2006–2018). Before joining KW Wealth Management in 2018, Yee Ki Wan was registered through Charles Schwab & Co., Inc.
- KW Wealth Management LLCCurrent– present · 8 yearsSacramento, CA · Adviser representative · Firm CRD 298466
- Charles Schwab & Co., Inc.– · 12 yearsSacramento, CA · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Yee Ki Wan is registered as an investment adviser representative in California, since September 2018.
- CaliforniaSince 14 September 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 11 February 2006 |
| Series 3 | National Commodity Futures Examination | 11 July 2005 |
| Series 4 | Registered Options Principal Examination | 26 June 2001 |
| Series 24 | General Securities Principal Examination | 9 September 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 December 1999 |
| Series 7 | General Securities Representative Examination | 1 November 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- National Commodity Futures Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 3078166
- Firm
- KW Wealth Management · CRD 298466
- Role
- Managing Member & Chief Compliance Officer
- Office
- Sacramento, CA
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Yee Ki Wan work?
Yee Ki Wan has been Managing Member & Chief Compliance Officer of KW Wealth Management LLC since July 2018, and is a control person of the firm.
Is Yee Ki Wan a financial advisor?
Yes. Yee Ki Wan has a current investment-adviser registration in California, through KW Wealth Management since September 2018.
How many years of experience does Yee Ki Wan have?
Yee Ki Wan has 26 years in the financial industry, since April 2000, across 2 adviser firms.
What exams has Yee Ki Wan passed?
Yee Ki Wan has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 3 and Series 66. The earliest, the Series 7, was passed in November 1999. FINRA credited Yee Ki Wan with the SIE, which began in October 2018.
Where did Yee Ki Wan work before KW Wealth Management?
Before KW Wealth Management, Yee Ki Wan was registered through Charles Schwab & Co., Inc., February 2006 to March 2018.
Where is Yee Ki Wan based?
Yee Ki Wan’s registered office is in Sacramento, CA.
Is Yee Ki Wan registered with FINRA?
Yes. Yee Ki Wan has a current broker registration, under CRD 3078166.
Source: FINRA BrokerCheck
How can I verify Yee Ki Wan’s record?
Search CRD 3078166 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Yee Ki Wan’s full registration record.