Michael E. Yee

VOYA INVESTMENT MANAGEMENT CO. LLC

San Diego, CA

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CRD#: 2541782

Professional summary

Michael Emerson Yee is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in San Diego, California and VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Emerson Yee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 19, 2022 - Present

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

San Diego, CA

Current

July 18, 2022 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: 200 Park Avenue, New York, NY 10169

CRD#: 37886

NEW YORK, NY

Past

July 21, 2010 - August 11, 2022

ALLIANZ GLOBAL INVESTORS U.S. LLC

RIA

CRD#: 149003

NEW YORK, NY

Past

April 1, 2010 - August 11, 2022

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

SAN DIEGO, CA

Past

October 19, 1999 - January 3, 2011

NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC

RIA

CRD#: 104606

SAN DIEGO, CA

Past

January 30, 1995 - April 19, 2010

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

October 17, 1994 - January 27, 1995

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/18/2022)

IAR

California
(7/19/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/14/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

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Contact information

Main Address

200 Park Avenue, New York, NY 10166

Mailing Address

Phone number

(212) 309-8200

Established

Firm type

Fiscal year end

# of Employees

880

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VOYA INVESTMENT MANAGEMENT CO. LLC FORM ADV PART 2A 8.4.25 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	2,261
AUM (Assets Under Management)	$ 253,808,191,665

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/05/2025	Cover Page	Report
11/26/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Michael E. Yee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Emerson Yee's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA INVESTMENTS DISTRIBUTOR, LLC

ALLIANZ GLOBAL INVESTORS U.S. LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC

NICHOLAS-APPLEGATE SECURITIES LLC

CENTAURUS FINANCIAL, INC.

Primary Firm SEC Registration

VOYA INVESTMENT MANAGEMENT CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/1999

Series 63

Date: 10/19/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/27/1999

Series 6

Date: 10/14/1994

FINRA

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VOYA INVESTMENT MANAGEMENT CO. LLC

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