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Edwin Lee

ETC Brokerage Services, LLC

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About Edwin Lee

Edwin Lee is a financial professional with over 15 years of experience in the industry. Edwin is currently registered with ETC Brokerage Services, LLC in Dallas, Texas. Prior to joining ETC Brokerage Services, LLC, Edwin held positions at several other firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Santander Investment Securities Inc., Folio Investments, Inc., Motif and T. Rowe Price Investment Services, Inc. Edwin holds Series 6, 7, 24, 63 and 66 licenses. Edwin is also registered in Ohio and Virginia.

Firm Information

Edwin Lee is currently registered with ETC Brokerage Services, LLC. ETC Brokerage Services, LLC is a Limited Liability Company formed in May 2007. It is registered with the SEC and all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

32

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.

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Edwin Lee’s Registration & Firm History

TX

03/22/2024 - Present

ETC Brokerage Services, LLC (Dallas TX)

VA

09/19/2022 - 02/06/2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALEXANDRIA VA)

NY

11/17/2020 - 06/09/2021

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

VA

05/12/2017 - 04/22/2020

FOLIO INVESTMENTS, INC. (MCLEAN VA)

CA

09/29/2014 - 04/18/2017

MOTIF (RANCHO CORDOVA CA)

DC

10/01/2007 - 10/16/2014

T. ROWE PRICE INVESTMENT SERVICES, INC. (WASHINGTON DC)

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Licenses & Designations

BOTH

Issued 10/24/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/21/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/18/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/02/2008

Series 7 - General Securities Representative Examination

BC

Issued 09/29/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Edwin Lee.
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