Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Hopper is a financial advisor with Principal Securities, Inc. Lee is registered in North Carolina as both a broker-dealer and an investment advisor. They have been in the financial services industry since 1996. Lee holds a Series 6, Series 63 and Series 65 licenses. They also hold the SIE license. Lee provides services including financial planning, portfolio management for individuals, and selection of other advisors. Lee has experience with individual and high-net-worth clients, as well as pension and profit-sharing plans, charitable organizations, corporations or other businesses, and state or municipal government entities. Lee also has experience working with The O.N. Equity Sales Company.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
10/18/2023 - Present
Principal Securities, Inc. (Raleigh NC)
NC
12/01/2003 - 10/17/2023
THE O.N. EQUITY SALES COMPANY (RALEIGH NC)
CT
04/26/1996 - 12/03/2003
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
IA
Issued 01/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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