Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Lee is a financial advisor with over 20 years of experience in the industry. Brian is currently registered with Morgan Stanley and has been a licensed financial advisor since 1998. Brian has extensive experience in providing a wide range of financial advisory services, including financial planning, asset allocation advice, and portfolio management. Brian has also worked for other financial institutions, including CUSO Financial Services, L.P., Scottrade, Inc., and Charles Schwab & Co., Inc.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
08/02/2021 - Present
Wealthpenn.comllc (Fresno CA)
CA
07/31/2017 - 05/07/2021
CUSO FINANCIAL SERVICES, L.P. (ARROYO GRANDE CA)
CA
03/29/2017 - 07/11/2017
SCOTTRADE, INC. (FRESNO CA)
CA
06/25/2013 - 03/13/2017
CUNA BROKERAGE SERVICES, INC. (FRESNO CA)
CA
04/08/2011 - 06/06/2013
CHARLES SCHWAB & CO., INC. (MODESTO CA)
CA
09/03/2010 - 03/18/2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC (FRESNO CA)
CA
11/12/2008 - 09/01/2010
UVEST FINANCIAL SERVICES GROUP, INC. (FRESNO CA)
CA
12/20/2006 - 09/29/2008
WADDELL & REED, INC. (FRESNO CA)
MO
01/04/2006 - 10/27/2006
UMB FINANCIAL SERVICES, INC. (LEE'S SUMMIT MO)
MN
05/27/2005 - 10/24/2005
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
NY
05/10/2004 - 05/03/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NE
12/19/2001 - 04/26/2004
BANCWEST INVESTMENT SERVICES, INC. (OMAHA NE)
CA
06/06/2000 - 12/19/2001
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NE
06/03/1999 - 09/13/2000
BANCWEST INVESTMENT SERVICES, INC. (OMAHA NE)
CA
01/01/1998 - 06/23/1999
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
BOTH
Issued 5/28/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 3/9/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/17/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/21/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/16/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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