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 securities professional with over 15 years of experience in the industry. Brian is currently registered with Mizuho Securities USA LLC and previously held positions at DAIWA CAPITAL MARKETS AMERICA INC., KIM ENG SECURITIES U.S.A. INC., and BANC OF AMERICA SECURITIES LLC. Brian is licensed to sell securities in all 50 states and the District of Columbia. Brian holds a Series 7, Series 55, Series 63, Series 57TO and SIE license.
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.
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.
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NY
11/14/2018 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
04/04/2011 - 10/18/2018
DAIWA CAPITAL MARKETS AMERICA INC. (NEW YORK NY)
NY
02/25/2008 - 03/07/2011
KIM ENG SECURITIES U.S.A. INC. (NEW YORK NY)
NY
10/18/2006 - 11/29/2007
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 03/19/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/17/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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