Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee William Montgomery is a financial advisor with UBS Financial Services Inc. Lee has been in the financial services industry for over 40 years. Lee is registered with FINRA and the state of Tennessee. Lee has a Series 7, Series 63 and SIE license. Lee has worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc. and E. F. Hutton & Company Inc. in the past. Lee has a specialization in Fixed Income, Equity Securities, Investment Advisory Services, Retirement Plans & Annuities, Insurance, Mutual Funds and Options.
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.
See schedule d - miscellaneous
1
2
TN
01/02/2009 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TN
02/08/1991 - 01/06/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KNOXVILLE TN)
NY
05/14/1988 - 01/29/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/27/1980 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 10/06/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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