Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Lee is a financial professional with over 20 years of experience in the securities industry. Dorothy is currently registered with Barclays Capital Inc., and is a licensed Series 7, Series 63, Series 99TO, and SIE representative. Prior to joining Barclays, Dorothy was employed by MORGAN STANLEY & CO., INCORPORATED.
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.
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NY
08/27/2019 - Present
Barclays Capital Inc. (NEW YORK NY)
NY
05/14/2001 - 03/06/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 07/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2019
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/2019
Series 99TO - Operations Professional Examination
BC
Issued 05/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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