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Mark James Lee

Piper Sandler & Co.

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About Mark James Lee

Mark James Lee is a financial advisor with over 30 years of experience in the industry. He is currently registered with Piper Sandler & Co. in Portland, Oregon. Mark James Lee is also a Series 7, Series 50, Series 52, Series 53, and Series 63 licensed representative. Mark James Lee has previously held positions at Seattle-Northwest Securities Corporation and J. F. Hartfield & Co., Inc.

Firm Information

Mark Lee is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Lee’s Registration & Firm History

OR

07/15/2013 - Present

Piper Sandler & Co. (PORTLAND OR)

OR

09/28/1992 - 07/16/2013

SEATTLE-NORTHWEST SECURITIES CORPORATION (PORTLAND OR)

NJ

09/24/1987 - 07/09/1992

J. F. HARTFIELD & CO., INC. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 11/20/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/19/1995

Series 53 - Municipal Securities Principal Examination

BC

Issued 02/21/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/04/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 10/10/1994

Series 7 - General Securities Representative Examination

BC

Issued 09/23/1987

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mark James Lee.
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