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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Lee is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Chris has been in the industry since 1994 and has a strong background in investment advisory. Chris is registered in Nevada and Texas, with licenses including Series 7, 63, 65, and 66. Chris has experience in investment management for individuals and businesses, and provides advisory services including performance measurement reports, allocation modeling, investment policy statements, research reports and services, pension consulting, and educational seminars. Chris also has experience working with insurance companies, charitable organizations, high net worth individuals, pension and profit-sharing plans, corporations and other businesses, and state or municipal government entities.
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
NV
06/20/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HENDERSON NV)
MA
04/05/1999 - 07/16/1999
BANKBOSTON INVESTOR SERVICES, INC. (BOSTON MA)
NY
12/08/1994 - 05/30/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 12/18/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/2024
Series 7TO - General Securities Representative Examination
BC
Issued 11/09/2023
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1999
Series 7 - General Securities 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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