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Cheng Yu Lee

Smbc Nikko Securities America, Inc.

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About Cheng Yu Lee

Cheng Yu Lee is a securities professional with over 20 years of experience in the financial services industry. Cheng Yu Lee is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Cheng Yu Lee has held previous positions at Citigroup Global Markets Inc., UBS Securities LLC, Jefferies & Company, Inc. and Prudential Securities Incorporated. Cheng Yu Lee holds a Series 7, Series 63, Series 79TO and SIE licenses. Cheng Yu Lee is licensed in 51 states, District of Columbia and Puerto Rico.

Firm Information

Cheng Lee is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Cheng Lee’s Registration & Firm History

NY

10/28/2022 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

11/12/2007 - 08/18/2022

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

06/07/2005 - 06/19/2006

UBS SECURITIES LLC (NEW YORK NY)

NY

01/31/2001 - 06/20/2005

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

06/14/2000 - 11/28/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/26/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/13/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Cheng Yu Lee.
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