Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Thomas Lee is an Investment Advisor Representative with Compass Financial Management LLC. Michael has been in the industry since 2002. Michael has passed the Series 31, Series 7, and Series 66 exams. Michael has experience with both broker-dealer and investment advisory firms. Prior to joining Compass Financial Management LLC, Michael was with KESTRA PRIVATE WEALTH SERVICES, LLC. Michael works with individuals, businesses and pension/profit-sharing plans.
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.
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.
A percentage of the total value of assets under management is charged.
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NY
08/06/2021 - Present
Compass Financial Management LLC (New York NY)
CT
02/01/2017 - 10/01/2018
COMMONWEALTH FINANCIAL NETWORK (Stamford CT)
CT
07/02/2014 - 02/01/2017
KESTRA INVESTMENT SERVICES, LLC (Darien CT)
NY
06/01/2009 - 07/09/2014
MORGAN STANLEY (PURCHASE NY)
NY
06/28/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
CT
05/26/2005 - 05/18/2007
CITIGROUP GLOBAL MARKETS INC. (STAMFORD CT)
NY
07/17/2003 - 06/02/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/08/2002 - 07/08/2003
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
IA
Issued 01/14/2020
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 05/16/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/05/2002
Series 7 - General Securities Representative Examination
Active
Inactive
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