Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joe? Claim Your ProfileJoe Lee is a financial professional with over 20 years of experience in the financial services industry. Joe is currently registered with MML Investors Services, LLC and has offices in Sarasota, FL and Springfield, MA. Joe has held previous positions with several prominent firms including Wells Fargo Clearing Services, LLC, Raymond James & Associates, Inc., Transamerica Capital, Inc. and J.P. Morgan Securities LLC. Joe holds multiple licenses and certifications, including the Series 4, 7, 9, 10, 24, 52TO, 53, 63 and 65 licenses. Joe is a Registered Investment Advisor and is licensed to provide financial advice in Florida and Massachusetts.
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.
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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
FL
08/10/2021 - Present
MML Investors Services, LLC (Sarasota FL)
FL
04/15/2020 - 08/05/2021
WELLS FARGO CLEARING SERVICES, LLC (LAKEWOOD RANCH FL)
FL
03/07/2019 - 08/15/2019
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
03/07/2019 - 08/15/2019
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
FL
05/03/2018 - 02/21/2019
TRANSAMERICA CAPITAL, INC. (ST. PETERSBURG FL)
FL
03/01/2018 - 02/19/2019
TRANSAMERICA FINANCIAL ADVISORS, INC (ST PETERSBURG FL)
GA
10/09/2015 - 11/09/2017
G.F. INVESTMENT SERVICES, LLC (MCDONOUGH GA)
FL
08/06/2014 - 05/12/2015
J.P. MORGAN SECURITIES LLC (VENICE FL)
FL
05/08/2013 - 06/02/2014
FIDELITY BROKERAGE SERVICES LLC (SARASOTA FL)
OR
06/23/2008 - 04/16/2013
SCOTTRADE, INC. (EUGENE OR)
NH
02/16/2007 - 06/03/2008
FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)
TX
06/02/1994 - 06/29/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 01/27/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2022
Series 4 - Registered Options Principal Examination
BC
Issued 04/14/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/27/2018
Series 24 - General Securities Principal Examination
BC
Issued 03/08/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/01/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/25/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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