Kee Chan
Professional summary
Kee Chan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kee is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Kee had worked at 7 firms, which includes UBS SECURITIES LLC, NOMURA SECURITIES INTERNATIONAL INC., FOCUSPOINT PRIVATE CAPITAL GROUP, BARCLAYS CAPITAL INC., LEHMAN BROTHERS INC., LEHMAN SPECIAL SECURITIES INC., LEHMAN GOVERNMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2012 - March 24, 2016
UBS SECURITIES LLC
August 3, 2009 - June 18, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
May 21, 2009 - September 15, 2009
FOCUSPOINT PRIVATE CAPITAL GROUP
September 22, 2008 - October 24, 2008
BARCLAYS CAPITAL INC.
April 29, 1997 - September 22, 2008
LEHMAN BROTHERS INC.
January 20, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
January 20, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
January 20, 1993 - June 19, 1996
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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