Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Ka-wing Lee is a financial advisor at UBS Financial Services Inc. Andrew has been in the industry since August 12, 2011. Andrew is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Andrew is licensed to offer securities and investment advisory services in 53 states and the District of Columbia. Andrew has passed the Series 3, 7, and 66 exams. Andrew is a registered representative of UBS Financial Services Inc. and is an investment advisor representative of UBS Financial Services Inc. Andrew is a member of the UBS Financial Services Inc. team. Andrew is dedicated to providing clients with personalized financial advice and investment management services. Andrew's office is located at 299 Park Avenue, New York, NY 10171.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/10/2003 - 02/10/2005
LAZARD FRERES & CO. LLC (NEW YORK NY)
BOTH
Issued 02/28/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2016
Series 3 - National Commodity Futures Examination
BC
Issued 01/11/2013
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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