Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gifford? Claim Your ProfileGifford Lee is a financial advisor with over 20 years of experience in the industry. Gifford is currently registered with Wells Fargo Clearing Services, LLC, and has held previous roles at Capital One Investing, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Chase Investment Services Corp., Legg Mason Investor Services, LLC, and SunAmerica Capital Services, Inc. Gifford has a broad range of experience in various aspects of financial advising, including investment management, financial planning, and pension consulting. Gifford holds Series 6, 7, 63, and 65 licenses.
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.
1
2
NY
09/30/2024 - Present
Wells Fargo Clearing Services, LLC (WOODBURY NY)
NY
04/13/2015 - 03/24/2017
CAPITAL ONE INVESTING, LLC (WEST HEMPSTEAD NY)
NY
01/10/2012 - 02/12/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLAINVIEW NY)
NY
06/25/2010 - 12/20/2011
CITIGROUP GLOBAL MARKETS INC. (GREAT NECK NY)
NY
07/24/2009 - 06/08/2010
CHASE INVESTMENT SERVICES CORP. (FOREST HILLS NY)
CT
12/01/2005 - 12/15/2008
LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)
NY
02/18/1999 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
03/31/1998 - 02/01/1999
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
IA
Issued 08/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/30/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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