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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Hiram Lee is a financial advisor with Fidelity Personal And Workplace Advisors. Richard has been working in the financial services industry since 2004. Richard holds Series 7, 9, 10, 24, 63 and 66 licenses. Richard is registered with FINRA and the State of California as a broker-dealer and investment advisor. Richard works with individuals, families, trusts, estates and charitable organizations. Richard specializes in retirement planning, college savings, and estate planning.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
09/11/2022 - Present
Fidelity Personal AND Workplace Advisors (LOS ANGELES CA)
CA
03/22/2011 - 11/26/2020
TD AMERITRADE, INC. (E. PALO ALTO CA)
NY
07/03/2008 - 08/23/2010
METLIFE INVESTORS DISTRIBUTION COMPANY (NEW YORK CITY NY)
NC
05/24/2004 - 05/23/2008
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
NY
02/26/2004 - 06/02/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 04/08/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/21/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/21/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/13/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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