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Michael Jonathan Yee

UBS SECURITIES
Miami, FL
·CRD# 4458934·24 years experience

Professional Summary

Michael Jonathan Yee, who also goes by Michael Yee, is a registered financial advisor 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Yee

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

24 years in the financial services industry

Current & Past Employments

UBS SECURITIES LLC·CRD# 7654
BD
100 Se 2nd Street Suite 2500, Miami, FL 33131
December 16, 2025 - Present
JEFFERIES LLC·CRD# 2347
BD
Miami, FL
June 1, 2017 - January 2, 2026
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
San Francisco, CA
February 29, 2008 - April 5, 2017
RBC CAPITAL MARKETS CORPORATION·CRD# 6579
BD
San Francisco, CA
April 4, 2005 - February 29, 2008
W.R. HAMBRECHT + CO., LLC·CRD# 45040
BD
San Francisco, CA
January 5, 2004 - March 23, 2005
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
October 30, 2002 - October 10, 2003
THOMAS WEISEL PARTNERS LLC·CRD# 46237
BD
San Francisco, CA
December 21, 2001 - November 1, 2002

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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)

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PART 2 OF FORM ADV (MARCH 27, 2012) (3/27/2012)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INCMEMBER, VOTING—
CAPANNA, DEREK EMMETTMANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES2401898
CASAVECHIA, RICHARD MICHAELMANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING4732235
EBERT, MICHAEL JPRESIDENT AND CHAIR OF THE BOARD4556059
LOFTUS, MICHAEL LMANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS4176467
MATTONE, RALPH MICHAELPRINCIPAL FINANCIAL OFFICER1840894
MILLER, MAURA ANNECHIEF COMPLIANCE OFFICER4444187
NIETO, CALLUMPRINCIPAL OPERATIONS OFFICER6765482
VAN TASSEL, JAMES CMANAGING DIRECTOR, US EQUITIES RESEARCH2558212

Disclosures

Regulatory Event

313

Civil Event

4

Arbitration

4

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2002About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Feb 2005About the Series 86 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Jan 2005About the Series 87 exam

Series 7 — General Securities Representative Examination

Passed Dec 2001About the Series 7 exam
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CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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