Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Byung do Lee is an investment advisor representative registered with Northwestern Mutual Investment Services, LLC. Michael Byung do Lee has 16 years of experience in the securities industry. Michael Byung do Lee's previous employers include Pruco Securities, LLC., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Comerica Securities, Scottrade, Inc., AXA Advisors, LLC, Questar Capital Corporation, Signator Investors, Inc., TD Ameritrade, Inc., Ameriprise Financial Services, Inc., TD Waterhouse Investor Services, Inc., and Dean Witter Reynolds Inc. Michael Byung do Lee is currently registered with the state of California. Michael Byung do Lee has passed the following exams: Uniform Securities Agent State Law Examination, Uniform Combined State Law Examination, General Securities Representative Examination, Futures Managed Funds Examination, Securities Industry Essentials Examination, General Securities Sales Supervisor - General Module Examination, and General Securities Sales Supervisor - Options Module Examination.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
CA
01/01/2025 - Present
Northwestern Mutual Investment Services, LLC (Campbell CA)
CA
03/09/2023 - 07/19/2023
PRUCO SECURITIES, LLC. (SAN JOSE CA)
CA
07/06/2020 - 12/16/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
01/30/2018 - 07/06/2020
COMERICA SECURITIES (SAN JOSE CA)
CA
09/08/2016 - 01/31/2018
SCOTTRADE, INC. (SUNNYVALE CA)
CA
07/30/2015 - 08/30/2016
AXA ADVISORS, LLC (SAN MATEO CA)
CA
11/26/2014 - 07/10/2015
QUESTAR CAPITAL CORPORATION (SANTA CLARA CA)
CA
05/08/2014 - 09/05/2014
SIGNATOR INVESTORS, INC. (REDWOOD CITY CA)
CA
08/16/2010 - 01/10/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MENLO PARK CA)
CA
10/05/2007 - 06/17/2010
TD AMERITRADE, INC. (SAN MATEO CA)
TX
05/17/2006 - 08/04/2006
AMERIPRISE FINANCIAL SERVICES, INC. (HOUSTON TX)
NE
07/27/2000 - 04/12/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
09/25/1998 - 04/26/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 05/24/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/28/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2006
Series 7 - General Securities Representative Examination
BC
Issued 10/19/1998
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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