| Advisor Profile |
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Disclosure Link:
Allen Yee is a registered re...
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| Disclaimer |
| Allen Yee is a registered representative with, and offers securities through First Allied Securities, Inc. Registered Broker-Dealer Member FINRA, SIPC.
Advisory Services Offered Through Guidant Planning, Inc.
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Business Description |
| Guidant Planning wants to help you protect and grow all that you have worked hard to obtain. We understand that each person’s voyage through life is a unique journey. Therefore we help you design a unique plan using a balanced strategy that reflects your goals, needs, and risk tolerance. We utilize a wide spectrum of strategies to move you in the direction of financial independence and generate income during retirement. Through various investments, diligent planning, and keen tax efficiency Guidant Planning can explore multiple avenues to help you reach your financial goals. |
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General Information |
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| Insurance License#: |
0747874
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| Name of Broker/Dealer: |
First Allied Securities Inc.
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| Name of Custodial Firm: |
Pershing LLC
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| States Licensed in: |
CA, NV
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| States Willing to do Business in: |
CA, NV
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| Years of Experience in Financial Services: |
23
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| Number of Years with Current Firm: |
2
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Services |
| Investment Types: |
Private Equity, Mutual Funds, Insurance, Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs), Alternative Investments
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Estate Advisor (CEA)®, Registered Financial Consultant (RFC)
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| Securities Licenses: |
Series 65, Series 7, Series 24, Series 63
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| Insurance and Annuity Licenses: |
Long Term Care, Variable Life, Disability, Variable Annuity, Annuity, Health, Life
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| Financial Organization Memberships: |
Paladin Registry, Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
Pasadena Triathlon Club
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
141
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Hourly, Flat Fee, Commissions, Based on Assets
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| Fee % Based on Assets: |
1.5%
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| Prepared By: |
Allen Yee |
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