Michael S. Yee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Sean Yee was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 99 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2012 - November 11, 2018
KBS CAPITAL MARKETS GROUP LLC
March 28, 2001 - May 6, 2003
METLIFE INVESTORS DISTRIBUTION COMPANY
April 16, 1997 - July 17, 2000
EQUITABLE DISTRIBUTORS, LLC
October 9, 1995 - December 9, 1996
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
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
KBS CAPITAL MARKETS GROUP LLC
CRD#: 132299 / SEC#: , 8-66581
Contact information
FINRA licenses (51 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
