Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elaine? Claim Your ProfileElaine Lee is a financial advisor with over 18 years of experience in the industry. Elaine currently works at U.S. Bancorp Investments, Inc. where she is registered as an Investment Advisor Representative. Elaine has previously worked at several other firms including: First Republic Securities Company, LLC, BancWest Investment Services, Inc., UnionBanc Investment Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, HSBC Securities (USA) Inc., Banc of America Investment Services, Inc., and Wells Fargo Investments, LLC. Elaine holds both Series 63 and Series 66 licenses as well as Series 7 and SIE licenses. Elaine is able to offer a variety of financial services, including portfolio management for individuals and businesses, financial planning, and educational seminars.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
CA
04/18/2023 - Present
U.s. Bancorp Investments, Inc. (San Carlos CA)
CA
06/08/2022 - 02/23/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
03/14/2018 - 05/09/2022
BANCWEST INVESTMENT SERVICES, INC. (DALY CITY CA)
CA
07/28/2016 - 03/06/2018
UNIONBANC INVESTMENT SERVICES, LLC (PALO ALTO CA)
CA
10/07/2013 - 06/06/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
11/12/2010 - 07/31/2013
UNIONBANC INVESTMENT SERVICES, LLC (SAN CARLOS CA)
CA
03/02/2009 - 09/17/2009
HSBC SECURITIES (USA) INC. (SAN FRANCISCO CA)
CA
03/09/2007 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
02/02/2005 - 01/30/2007
WELLS FARGO INVESTMENTS, LLC (SOUTH SAN FRANCISCO CA)
MA
04/07/2003 - 10/19/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 10/22/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/17/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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