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BY
CFP
BY
CFP

Barbara Yee

UBS Financial Services INC.
36 Years of Experience
New York, NY
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Barbara Yee is a CFP-designated registered investment advisor at UBS Financial Services INC., based in New York, NY, with 36 years of industry experience. Barbara is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

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

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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
View Full SEC ReportHow to Read Disclosures
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 · 3 yrs 4 mos
UBS Financial Services INC.Broker
June 2023 - Present · 3 yrs 4 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 Registrations27 states
ALAZCACOCTDCDEFLGAHIILINMAMDMTNCNJNVNYPAPRSCSDTXVAWAWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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