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Raymond Ernest Lee

Raymond James & Associates, Inc.

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About Raymond Ernest Lee

Raymond Ernest Lee has been a registered representative for over 40 years. Raymond started his career in the financial services industry in 1973 and has been with Raymond James & Associates, Inc. since 1994. Raymond is registered with the state of Texas and holds Series 63, Series 7, Series PC, and Series SIE licenses. Raymond specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals and businesses.

Firm Information

Raymond Lee is currently registered with Raymond James & Associates, Inc.. Raymond James & Associates, Inc. is a corporation headquartered in St. Petersburg, Florida, that was formed in February 1969. With a team of over 7,700 licensed agents, investment adviser representatives, and registered representatives, the firm manages over $433 billion in assets for a diverse clientele including high-net-worth individuals, corporations, insurance companies, pension plans, and charitable organizations. Raymond James offers a wide range of advisory services including financial planning, pension consulting, educational seminars, and portfolio management for individuals, businesses, and investment companies. The firm is registered with the Securities and Exchange Commission and is licensed to operate in all 50 states and the District of Columbia.
Raymond James & Associates, Inc.

880 CARILLON PARKWAY

ST. PETERSBURG, FL 33716

$433.81B

Assets Under Management

2,313

Total Clients

6,961

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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please see note in schedule d - miscellaneous

Please see note in schedule d - miscellaneous

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Raymond Lee’s Registration & Firm History

TX

11/15/1994 - Present

Raymond James & Associates, Inc. (HOUSTON TX)

MO

09/04/1990 - 11/17/1994

EVEREN SECURITIES, INC. (ST. LOUIS MO)

NA

09/27/1988 - 09/04/1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

NA

08/12/1985 - 10/08/1988

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

NA

03/27/1985 - 08/02/1985

SUNSTRAND SECURITIES CORPORATION, INC.

NA

10/31/1983 - 03/29/1985

PAINEWEBBER INCORPORATED

NA

12/11/1973 - 11/28/1983

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

NA

06/12/1978 - 04/02/1979

KIDDER, PEABODY & CO., INCORPORATED

NA

05/19/1978 - 04/02/1979

KIDDER, PEABODY & CO. INCORPORATED

NA

09/26/1978 - 12/03/1978

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NA

12/05/1975 - 09/26/1978

WHITE, WELD & CO. INCORPORATED

NA

11/08/1974 - 01/05/1976

SHEARSON HAYDEN STONE INC.

NA

11/13/1973 - 11/08/1974

SHEARSON, HAMMILL & CO., INCORPORATED

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Licenses & Designations

BC

Issued 06/17/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/10/1978

PC - AMEX Put and Call Exam

BC

Issued 12/11/1973

Series 000 - General Securities Principal Examination

BC

Issued 11/09/1973

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Raymond Ernest Lee. Review regulatory record here.
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