Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christine? Claim Your ProfileChristine Lee is a financial advisor with UBS Financial Services Inc. Christine has been in the financial services industry since March 14, 1996. Christine is registered with the state of California and the Financial Industry Regulatory Authority (FINRA). Christine holds the Series 3, 7, 63 and 66 licenses. Christine provides financial planning services for individuals, businesses, and trusts. Christine also specializes in retirement planning, college savings, and estate planning. Christine is committed to providing her clients with personalized service and sound financial advice.
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.
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.
See schedule d - miscellaneous
1
2
CA
02/03/2009 - Present
UBS Financial Services Inc. (El Segundo CA)
CA
05/29/2008 - 01/20/2009
MORGAN STANLEY & CO. INCORPORATED (BEVERLY HILLS CA)
CA
07/02/2001 - 03/31/2008
KINSELL, NEWCOMB & DE DIOS, INC (CARLSBAD CA)
NJ
04/01/1999 - 12/22/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/03/1998 - 03/16/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/25/1997 - 09/15/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/29/1996 - 11/26/1996
AMERVEST CAPITAL, INC.
CA
02/28/1996 - 11/26/1996
AMERVEST CAPITAL, INC. (MONTEREY PARK CA)
IL
09/09/1993 - 02/15/1996
BEREAN CAPITAL INCORPORATED (CHICAGO IL)
IL
03/18/1993 - 09/25/1993
GARDNER RICH & COMPANY (CHICAGO IL)
BOTH
Issued 09/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1993
Series 7 - General Securities Representative Examination
BC
Issued 12/16/1991
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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