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Noah Lee

UBS Securities LLC

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About Noah Lee

Noah Lee is a financial professional with over 13 years of experience in the industry. Noah currently works at UBS Securities LLC and Credit Suisse Securities (USA) LLC. Noah has experience at several firms including NEWEDGE USA, LLC and SG AMERICAS SECURITIES, LLC. Noah is registered with FINRA and holds licenses for Series 3, 7, 63 and 65. Noah is also registered in all states and has a broad range of experience in the financial services industry.

Firm Information

Noah Lee is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

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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Noah Lee’s Registration & Firm History

NY

12/15/2023 - Present

UBS Securities LLC (NEW YORK NY)

NY

07/26/2011 - 01/17/2014

NEWEDGE USA, LLC (NEW YORK NY)

NY

05/19/2009 - 06/25/2010

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/25/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/29/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2010

Series 3 - National Commodity Futures Examination

BC

Issued 05/18/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Noah Lee.
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