Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Stephen Lee is an investment advisor representative with over 39 years of experience in the financial services industry. Charles is currently registered with LPL Financial LLC in South Carolina and Texas. Charles previously worked at Edward Jones, Wachovia Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Interstate Securities Corporation. Charles offers a range of financial services including financial planning, portfolio management for individuals and businesses, consulting and other non-discretionary advisory services. Charles also holds Series 3, 7, 8, 24, 63 and 65 licenses.
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.
Consulting and other non-discretionary advisory services
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
SC
02/08/2013 - Present
LPL Financial LLC (PAWLEYS ISLAND SC)
SC
07/10/2000 - 03/07/2007
EDWARD JONES (CONWAY SC)
NC
01/24/1991 - 07/19/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
06/03/1988 - 01/25/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
04/25/1984 - 06/07/1988
INTERSTATE SECURITIES CORPORATION
IA
Issued 09/01/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/23/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/21/2007
Series 24 - General Securities Principal Examination
BC
Issued 05/24/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1992
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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