Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Yuenyee Yee is a financial professional with over 30 years of experience in the financial services industry. Barbara has a strong track record of success in providing investment advice and financial planning services to a wide range of clients, including individuals, families, businesses, and institutions. Barbara has held several positions at prominent firms such as Morgan Stanley and Citigroup. Currently, Barbara is registered with UBS Financial Services Inc., where she is a Financial Advisor. She holds Series 3, 7, 31, and 66 licenses, as well as the SIE. She is also a Certified Financial Planner. Barbara is committed to providing her clients with personalized financial advice and helping them achieve their financial goals.
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
06/30/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 07/26/2023
MORGAN STANLEY (New York NY)
NY
04/24/2009 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/21/2000 - 05/05/2009
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
10/08/1997 - 11/03/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/15/1993 - 03/06/1995
S.G. WARBURG & CO. INC. (NEW YORK NY)
NY
02/26/1992 - 11/23/1993
AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC. (NEW YORK NY)
NY
09/24/1985 - 03/13/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 03/30/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/04/1997
Series 7 - General Securities Representative Examination
BC
Issued 11/25/1994
Series 3 - National Commodity Futures 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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