Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Robert Lee is a financial advisor at Stifel, Nicolaus & Company, Inc., with over 36 years of experience in the industry. David is registered with FINRA as a General Securities Representative and holds the Series 6, 7, 31, and 63 licenses, as well as the SIE designation. David is also a Certified Financial Planner and holds a Series 65 license, allowing him to act as an Investment Advisor Representative.
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.
1
2
CA
11/11/2020 - Present
Stifel, Nicolaus & Company, Inc. (SAN DIEGO CA)
CA
01/01/2008 - 02/06/2012
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
12/01/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SAN DIEGO CA)
CA
02/20/1990 - 12/06/2006
MORGAN STANLEY DW INC. (LA MESA CA)
NJ
11/07/1988 - 10/17/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
07/23/1987 - 01/01/1988
GAF FINANCIAL AND INSURANCE SERVICES
NA
07/16/1987 - 12/22/1987
PAMCO SECURITIES AND INSURANCE SERVICES
NA
05/29/1986 - 08/22/1987
JOHN HANCOCK DISTRIBUTORS, INC.
IA
Issued 09/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/1988
Series 7 - General Securities Representative Examination
BC
Issued 05/06/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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