Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Lee has been in the financial industry since 2001. Robert is currently registered with Northwestern Mutual Investment Services, LLC and is licensed in 51 states. Robert has previously worked at Gradient Securities, LLC, Valmark Securities, Inc., Woodbury Financial Services, Inc., Hartford Equity Sales Company Inc., and Hartford Investment Financial Services, LLC. Robert has earned the following licenses: Series 6, 7, 9, 10, 24, 26, 66, 99TO, and SIE. Robert is also licensed in Minnesota as an Investment Advisor Representative.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
MN
07/04/2017 - Present
Northwestern Mutual Investment Services, LLC (MINNEAPOLIS MN)
MN
07/12/2016 - 06/23/2017
GRADIENT SECURITIES, LLC (ARDEN HILLS MN)
OH
08/01/2013 - 06/22/2016
VALMARK SECURITIES, INC. (AKRON OH)
MN
04/30/2004 - 07/22/2013
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
CT
01/03/2003 - 04/28/2004
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
PA
03/08/2002 - 12/20/2002
HARTFORD INVESTMENT FINANCIAL SERVICES, LLC (WAYNE PA)
MN
05/03/2001 - 12/31/2001
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
BOTH
Issued 10/10/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/21/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/28/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/24/2011
Series 24 - General Securities Principal Examination
BC
Issued 03/23/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2011
Series 7 - General Securities Representative Examination
BC
Issued 05/02/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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