Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lee is a financial advisor with Cetera Investment Advisers LLC. David has been in the industry since April 1995. Cetera Investment Advisers LLC is a registered investment adviser headquartered in Schaumburg, Illinois, with a main office in New York City. Cetera Investment Advisers LLC provides financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions.
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.
A percentage of the total value of assets under management is charged.
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2
NY
03/31/2021 - Present
Cetera Investment Advisers LLC (New York NY)
NY
01/04/2005 - 10/06/2006
UVEST FINANCIAL SERVICES GROUP, INC. (NEW YORK, NY 10002 NY)
NJ
03/01/2004 - 01/12/2005
PRUCO SECURITIES, LLC. (NEWARK NJ)
NY
03/01/1996 - 01/16/2004
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
MA
02/27/1995 - 03/13/1996
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
02/27/1995 - 03/13/1996
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 11/24/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/7/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/30/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/2/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/29/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/8/2001
Series 7 - General Securities Representative Examination
BC
Issued 2/24/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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