Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Marie Lee is a financial advisor who has been in the industry since 1997. Dawn is currently registered with Wells Fargo Clearing Services, LLC. Dawn is also registered in 30 states and 2 jurisdictions as an investment advisor representative. Dawn has experience working with individuals, families, and institutions. Dawn's specializations include retirement planning, college savings, and estate planning.
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.
Investment consulting services to institutional clients
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.
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2
MI
01/10/2020 - Present
Wells Fargo Clearing Services, LLC (GRAND RAPIDS MI)
NY
10/16/1997 - 09/08/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 08/28/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/20/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/25/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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