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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathan? Claim Your ProfileNathan Albert Lee is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nathan Albert Lee is a veteran financial advisor with over 20 years of experience in the industry. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Incorporated, Nathan Albert Lee was registered with UBS Financial Services Inc. Nathan Albert Lee is a Series 3, 7, 9, 10, 66, and SIE licensed advisor and is currently registered to provide investment advice in 53 states. Nathan Albert Lee also holds a Series 9 and 10 license. Nathan Albert Lee provides investment advice to individuals, corporations, pension and profit-sharing plans, and other business entities. Nathan Albert Lee also serves as an Advisory Board Member for the Boys & Girls Club of Long Beach.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
01/03/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROLLING HILLS ESTATES CA)
NJ
01/04/2002 - 12/10/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 2/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/12/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/9/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/29/2013
Series 3 - National Commodity Futures Examination
BC
Issued 1/3/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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