MY
Michael J. Yee
UBS SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4458934
MY
Professional summary
Michael Jonathan Yee, who also goes by Michael Yee, is a registered financial professional currently at UBS SECURITIES LLC located in Miami, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Yee
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Jonathan Yee's 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®
NoneExperience
Current
December 16, 2025 - Present
UBS SECURITIES LLC
Office #1: 100 Se 2nd Street Suite 2500, Miami, FL 33131BD
CRD#: 7654
Miami, FL
Past
June 1, 2017 - January 2, 2026
JEFFERIES LLC
BD
CRD#: 2347
MIAMI, FL
Past
February 29, 2008 - April 5, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
April 4, 2005 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
SAN FRANCISCO, CA
Past
January 5, 2004 - March 23, 2005
W.R. HAMBRECHT + CO., LLC
BD
CRD#: 45040
SAN FRANCISCO, CA
Past
October 30, 2002 - October 10, 2003
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
December 21, 2001 - November 1, 2002
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/16/2025)
RR
Alaska(12/16/2025)
RR
Arizona(12/16/2025)
RR
Arkansas(12/16/2025)
RR
California(12/16/2025)
RR
Colorado(12/16/2025)
RR
Connecticut(12/16/2025)
RR
Delaware(12/16/2025)
RR
District of Columbia(12/16/2025)
RR
Florida(12/16/2025)
RR
Georgia(12/16/2025)
RR
Hawaii(12/16/2025)
RR
Idaho(12/16/2025)
RR
Illinois(12/16/2025)
RR
Indiana(12/16/2025)
RR
Iowa(12/16/2025)
RR
Kansas(12/16/2025)
RR
Kentucky(12/16/2025)
RR
Louisiana(12/16/2025)
RR
Maine(12/16/2025)
RR
Maryland(12/16/2025)
RR
Massachusetts(12/16/2025)
RR
Michigan(12/16/2025)
RR
Minnesota(12/16/2025)
RR
Mississippi(12/16/2025)
RR
Missouri(12/16/2025)
RR
Montana(12/16/2025)
RR
Nebraska(12/16/2025)
RR
Nevada(12/16/2025)
RR
New Hampshire(12/16/2025)
RR
New Jersey(12/16/2025)
RR
New Mexico(12/16/2025)
RR
New York(12/16/2025)
RR
North Carolina(1/2/2026)
RR
North Dakota(12/16/2025)
RR
Ohio(12/16/2025)
RR
Oklahoma(12/16/2025)
RR
Oregon(12/16/2025)
RR
Pennsylvania(12/16/2025)
RR
Puerto Rico(12/16/2025)
RR
Rhode Island(12/16/2025)
RR
South Carolina(12/16/2025)
RR
South Dakota(12/16/2025)
RR
Tennessee(12/16/2025)
RR
Texas(12/16/2025)
RR
Utah(12/16/2025)
RR
Vermont(12/16/2025)
RR
Virginia(12/16/2025)
RR
Washington(12/16/2025)
RR
West Virginia(12/16/2025)
RR
Wisconsin(12/16/2025)
RR
Wyoming(12/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
CRD#: 7654 / SEC#: 801-67178, 8-22651
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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 |
| 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 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
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.
Company Information
UBS SECURITIES LLC
CRD#: 7654Miami, FL 33131TRUST BUT VERIFY
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