Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia C Lee is a financial professional with over 20 years of experience in the industry. Currently, Patricia Lee is an advisor at Wells Fargo Clearing Services, LLC in Charlotte, North Carolina. Patricia C Lee has experience with several firms including WELLS FARGO FUNDS DISTRIBUTOR, LLC, MML INVESTORS SERVICES, LLC, MSI FINANCIAL SERVICES, INC, WELLS FARGO ADVISORS, LLC, and FIRST UNION BROKERAGE SERVICES, INC. Patricia C Lee holds several licenses and certifications including Series 63, Series 10, Series 9, Series 24, SIE, and Series 7.
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
NC
07/14/2021 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
08/12/2019 - 02/03/2021
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
NC
03/25/2017 - 06/04/2019
MML INVESTORS SERVICES, LLC (CHARLOTTE NC)
NC
04/27/2015 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
10/01/2000 - 03/26/2014
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
01/14/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 06/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/30/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/20/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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