Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Romania? Claim Your ProfileRomania Quan Lee is an investment advisor representative with Empower Advisory Group, LLC, located in Dublin, CA. Romania has been in the industry since 2004 and has been with Empower Advisory Group, LLC since 2022. Prior to joining Empower Advisory Group, LLC, Romania worked at Fidelity Brokerage Services LLC, TIAA-CREF Individual & Institutional Services, LLC, Charles Schwab & Co., Inc., UBS Financial Services Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company. Romania has a Series 66, Series 6TO, SIE, and Series 7 license. Romania specializes in portfolio management for individuals, financial planning and educational seminars.
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.
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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CA
05/05/2022 - Present
Empower Advisory Group, LLC (DUBLIN CA)
CA
01/04/2022 - 04/22/2022
FIDELITY BROKERAGE SERVICES LLC (DUBLIN CA)
CA
05/14/2014 - 11/13/2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (SAN FRANCISCO CA)
CA
08/07/2007 - 09/24/2012
CHARLES SCHWAB & CO., INC. (SAN MATEO CA)
CA
09/28/2005 - 08/08/2007
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
MN
02/10/2004 - 07/12/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/10/2004 - 07/12/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 04/06/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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