linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Derek Lee

Smbc Nikko Securities America, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Derek? Claim Your Profile

About Derek Lee

Derek Lee is a registered representative with Smbc Nikko Securities America, Inc. Derek has over 30 years of experience in the financial services industry and has held positions with several major firms, including Mitsubishi UFJ Securities (USA), Inc., BNP Paribas Securities Corp., Nomura Securities International, Inc., and Goldman, Sachs & Co. Derek holds the Series 7, Series 24, Series 52TO, and SIE licenses and is registered in 51 states.

Firm Information

Derek Lee is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Derek Lee’s Registration & Firm History

NY

08/11/2015 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

03/26/2012 - 07/30/2015

MITSUBISHI UFJ SECURITIES (USA), INC. (NEW YORK NY)

NY

05/17/2011 - 03/01/2012

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

11/11/2009 - 01/10/2011

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

09/10/2008 - 10/26/2009

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

05/04/2002 - 06/17/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

04/24/1997 - 10/15/1999

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

02/17/1988 - 04/15/1997

GOLDMAN, SACHS & CO. (NEW YORK NY)

Not sure if Derek Lee is right for you?

Licenses & Designations

BC

Issued 06/03/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/16/2017

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/19/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Derek Lee.
Not sure if Derek Lee is right for you?