BY
CFP
BY
CFP

Barbara Yee

35 Years of Experience
New York, NY
3 DisclosuresBroker

Barbara Yee is a CFP-designated registered investment advisor at UBS Financial Services INC., based in New York, NY, with 35 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

1285 Avenue of the Americas, 19th Floor, New York, NY, 10019

Get directions

History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2011
Denied
Customer Dispute
April 2010
Settled
Customer Dispute
May 2000
Denied
Other Business Activities

Barbara is an agent for 4111 LLC, paying expenses and collecting rent, dedicating minimal time outside of business hours. She is also the owner of 56017 LLC, a real estate business, spending minimal time outside of business hours on administrative tasks.

Employment History
Current Registrations
UBS Financial Services INC.
June 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.Broker
June 2023 - Present · 2 yrs 11 mos
Previous Registrations
Morgan Stanley
May 2020 - July 2023 · 3 yrs 2 mos
Morgan StanleyBroker
June 2009 - July 2023 · 14 yrs 1 mo
Citigroup Global Markets INC.Broker
April 2009 - June 2009 · 2 mos
UBS Financial Services INC.Broker
November 2000 - May 2009 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1997 - November 2000 · 3 yrs 1 mo
S.G. Warburg & CO. INC.Broker
November 1993 - March 1995 · 1 yr 4 mos
American International Fund Distributors, INC.Broker
February 1992 - November 1993 · 1 yr 9 mos
Kidder, Peabody & CO. IncorporatedBroker
September 1985 - March 1990 · 4 yrs 6 mos
State Registrations25 states
ALAZCACOCTDEFLGAHIILINMAMDMTNCNJNVNYPAPRSCTXVAWAWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Barbara Yee - Financial Advisor | TrueAdvisor