Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mimi? Claim Your ProfileMimi Lee Patterson is a financial advisor who has been in the industry since 1996. Mimi is currently registered with Wells Fargo Clearing Services, LLC in both California and Texas. Mimi holds the Series 7, Series 63, and Series 66 licenses. Mimi has previously worked for A. G. Edwards & Sons, Inc., NYLIFE Securities Inc., and Smith Barney Inc.. Mimi specializes in portfolio management for individuals and businesses, financial planning, pension consulting, selection of other advisors and investment consulting services to institutional clients.
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.
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.
Investment consulting services to institutional clients
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
CA
11/16/2011 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
04/02/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SAN JOSE CA)
NY
09/26/1995 - 08/24/1999
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
07/20/1994 - 05/04/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 01/29/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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