Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Lee is a financial advisor with Wells Fargo Clearing Services, LLC. Katherine has been in the financial industry since March 16, 1994 and has a broad range of experience in the industry. Katherine is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed in several states across the US.
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.
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2
CA
06/25/2012 - Present
Wells Fargo Clearing Services, LLC (SAN FRANCISCO CA)
CA
06/01/2009 - 04/26/2010
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
04/09/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
09/15/2003 - 03/24/2008
BROADPOINT CAPITAL, INC. (SAN FRANCISCO CA)
NY
06/03/1992 - 11/08/2002
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
06/04/1991 - 05/27/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/08/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/17/2004
Series 24 - General Securities Principal Examination
BC
Issued 06/07/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/19/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1991
Series 7 - General Securities 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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