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 an investment advisor representative with Oppenheimer & Co. Inc. David has been in the financial services industry for over 14 years. David holds the Series 3, 7, 31, 63, 65, and 66 securities licenses. David also has experience as an investment advisor representative with FINANCIAL NETWORK INVESTMENT CORPORATION and DEAN WITTER REYNOLDS INC. David specializes in providing financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. David has 20 state licenses, including Washington, Oregon, California, Arizona, Texas, Colorado, and Florida.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
WA
01/10/2013 - Present
Oppenheimer & Co. Inc. (BELLEVUE WA)
WA
05/27/2009 - 12/31/2012
FINANCIAL NETWORK INVESTMENT CORPORATION (TACOMA WA)
NY
12/21/1998 - 09/10/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 08/13/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2009
Series 7 - General Securities Representative Examination
BC
Issued 01/08/1999
Series 31 - Futures Managed Funds Examination
Active
Inactive
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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