DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)9 years in industry

SCOTT THOMAS YEE

Advisor at WELLS FARGO ADVISORS

MOUNTAIN VIEW, CA | PALO ALTO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d5846550-808f-4366-fff8-fed7312818ad

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2018 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2016earliest registration or exam on IAPD
Years in industry: 9derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 28, 2018
First registration: Nov 28, 2018
Dual registered: yes, broker-dealer
Other names: Sue Chang Yee|SueChang Chang Yee
IAPD individual key: 6909786

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Jul 25, 2024	n/a	yes	PALO ALTO, CA\|MOUNTAIN VIEW, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 28, 2022	Nov 16, 2023	no	Plano, TX\|Chicago, IL\|Chicago, IL\|Plano, TX\|Plano, TX\|BERKELEY, CA\|Chicago, IL	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Feb 21, 2020	Nov 5, 2020	no	New York, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 7, 2019	Jan 17, 2020	no	New York, NY\|New York, NY\|New York, NY\|Jacksonville, FL	Previous registration
MORGAN STANLEY	Wirehouse	Nov 28, 2018	Apr 24, 2019	no	New York, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Nov 16, 2023	Jul 25, 2024	252	Firm change	Wirehouse to wirehouse
SECURITIES AMERICA ADVISORS, INC.	J.P. MORGAN SECURITIES LLC	Nov 5, 2020	Jun 28, 2022	600	Firm change after gap	Ibd to wirehouse
CITIGROUP GLOBAL MARKETS INC.	SECURITIES AMERICA ADVISORS, INC.	Jan 17, 2020	Feb 21, 2020	35	Firm change	Ibd to ibd
MORGAN STANLEY	CITIGROUP GLOBAL MARKETS INC.	Apr 24, 2019	May 7, 2019	13	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jul 25, 2024 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jun 28, 2022 to Nov 16, 2023factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Feb 21, 2020 to Nov 5, 2020factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 7, 2019 to Jan 17, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 28, 2018 to Apr 24, 2019factForm ADV

Dated events

Occurred
Nov 16, 2023
Advisor changed firm
Scott Thomas Yee left J.P. Morgan Securities Llc for Wells Fargo Advisors (registered 2024-07-25)
Form ADVobserved 5 days ago