Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Irving? Claim Your ProfileIrving Thomas Lee is a financial professional with over 20 years of experience in the industry. Irving has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2011 and has worked for a number of other well-known firms previously, including Chase Investment Services Corp., Banc of America Investment Services, Inc., Citigroup Investment Services, and Salomon Smith Barney Inc. Irving holds a Series 3, 7, 9, 63, and 65 license and specializes in investment advisory services, portfolio management, and financial planning.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
07/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (COMMACK NY)
NY
06/13/2011 - 11/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JERICHO NY)
NY
04/29/2009 - 05/23/2011
CHASE INVESTMENT SERVICES CORP. (SYOSSET NY)
NY
07/28/2005 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WEST HEMPSTEAD NY)
IL
07/15/2003 - 07/18/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
08/26/2002 - 07/03/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
09/07/2000 - 06/14/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 05/28/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1995
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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