Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Rosen is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Lee has been in the financial industry since 1980 and has held several positions at various firms. Lee is currently licensed and registered to provide financial advice in multiple states. Lee is a dedicated financial professional who provides a wide range of services, including portfolio management for individuals and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
10/21/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
06/01/2009 - 10/20/2015
MORGAN STANLEY (JERICHO NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (JERICHO NY)
NY
02/02/2007 - 04/02/2007
MORGAN STANLEY DW INC. (JERICHO NY)
NY
07/31/1993 - 02/14/2007
CITIGROUP GLOBAL MARKETS INC. (MELVILLE NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/24/1980 - 02/15/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 03/29/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/16/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1982
Series 5 - Interest Rate Options Examination
BC
Issued 12/17/1982
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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