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DY

Derek B. Yee

BRADLEY WOODS & CO. LTD.
New York, NY 10022
Some features on this profile are disabled
CRD#: 6911274
DY

Professional summary

Derek Brian Yee, who also goes by Brian Yee, is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.

Derek is registered as a RR (Registered Representative) and started their career in finance in 2020. Derek has worked at 1 firm and has passed the Series 79TO, SIE, Series 82TO and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek Brian 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

August 28, 2020 - Present

BRADLEY WOODS & CO. LTD.

Office #1: 845 Third Ave, Suite 1703, New York, NY 10022Office #2: 845 Third Avenue Suite 1703, New York, NY 10022
BD
CRD#: 13660
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 10/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/4/2020
Limited Representative-Private Securities Offerings
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

Disclosures

Regulatory Event1

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

BRADLEY WOODS & CO. LTD.

CRD#: 13660New York, NY 10022

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