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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adela? Claim Your ProfileAdela Lee is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Adela has been in the industry since 1994 and has held various roles at several firms, including Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Adela is licensed to provide investment advice in 46 states and the District of Columbia. Adela is also registered with FINRA and is a registered principal. Adela has earned several industry certifications, including the Series 6, 7, 26, 31, 63, and 65 exams. Adela specializes in providing investment advice to individuals, families, and businesses. Adela is also an experienced financial planner and can help clients with a variety of financial planning needs, such as retirement planning, college savings, and estate planning. Adela is committed to providing her clients with personalized and comprehensive financial advice to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/28/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN JOSE CA)
CA
04/02/2007 - 01/20/2009
MORGAN STANLEY & CO. INCORPORATED (CUPERTINO CA)
CA
08/14/2000 - 04/02/2007
MORGAN STANLEY DW INC. (CUPERTINO CA)
GA
06/06/1994 - 02/08/2000
WMA SECURITIES, INC. (DULUTH GA)
FL
06/02/1994 - 06/06/1994
INTERSECURITIES, INC. (ST. PETERSBURG FL)
IA
Issued 10/12/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 09/14/2000
Series 7 - General Securities Representative Examination
BC
Issued 06/01/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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