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 professional with over 20 years of experience in the industry. David has a strong background in investment banking and has held previous roles with SEI Investments Distribution Co. and American Express Financial Advisors Inc. David is currently registered with Kroll Securities LLC and holds Series 7, 79, and 63 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.
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.
1
2
NY
08/26/2014 - Present
Kroll Securities LLC (NEW YORK NY)
PA
01/02/2002 - 02/28/2003
SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)
PA
10/03/2001 - 12/31/2001
SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)
MN
11/06/2000 - 12/06/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/06/2000 - 12/06/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 08/31/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 11/03/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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