Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Francis Lee is a financial advisor who has been in the industry since January 18, 1981. John is currently registered with Stifel, Nicolaus & Company, Inc. and is licensed in Nevada. John has previously held registrations with A. G. Edwards & Sons, Inc., Drexel Burnham Lambert Incorporated, and Private Ledger Financial Services, Incorporated. John is also a Registered Principal and has held this position since December 22, 1997. John has a wide range of experience and qualifications, including holding Series 3, 5, 7, 9, 10, 15, 24, and 63 licenses. John is a valuable asset to any client looking for financial advice.
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.
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
NV
03/14/2019 - Present
Stifel, Nicolaus & Company, Inc. (INCLINE VILLAGE NV)
CA
04/30/1986 - 09/05/2007
A. G. EDWARDS & SONS, INC. (ROSEVILLE CA)
NA
01/09/1984 - 07/11/1986
DREXEL BURNHAM LAMBERT INCORPORATED
NA
03/24/1983 - 04/02/1984
PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED
NA
01/19/1981 - 03/23/1983
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 01/20/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/22/1997
Series 24 - General Securities Principal Examination
BC
Issued 12/10/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1990
Series 3 - National Commodity Futures Examination
BC
Issued 06/06/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 04/18/1984
Series 5 - Interest Rate Options Examination
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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