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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Allen Lee has been active in the financial services industry since June 1999. John Allen Lee is currently registered with Wells Fargo Clearing Services, LLC, and previously worked with Morgan Stanley and BANC of America Investment Services, INC.. John Allen Lee is licensed to provide financial services in several states, including Arizona, California, Florida, Hawaii, Idaho, Oklahoma, Texas, and Washington. John Allen Lee holds a Series 6, 7, and 63 license, as well as the SIE and Series 65 licenses. John Allen Lee specializes in a wide range of financial planning services, including portfolio management for businesses and individuals, and investment consulting services to institutional clients.
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
WA
03/16/2018 - Present
Wells Fargo Clearing Services, LLC (TACOMA WA)
WA
07/15/2009 - 03/19/2018
MORGAN STANLEY (TACOMA WA)
WA
04/02/2008 - 03/06/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SEATTLE WA)
WA
01/29/2001 - 05/15/2006
UNIONBANC INVESTMENT SERVICES, LLC (SEATTLE WA)
MN
06/08/2000 - 01/29/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
MN
09/03/1997 - 06/23/2000
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
03/18/1997 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
IA
Issued 07/01/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/17/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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