Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sau? Claim Your ProfileSau Ping Lee is a financial advisor with Wells Fargo Clearing Services, LLC. Sau has been in the industry since 2000 and is registered with FINRA and the Securities Investor Protection Corporation (SIPC). Sau's previous employment includes Morgan Stanley and PFS Investments Inc. Sau holds Series 6, 7, 31, 63, and 65 licenses as well as the SIE exam.
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
FL
01/04/2018 - Present
Wells Fargo Clearing Services, LLC (MELBOURNE FL)
FL
06/01/2009 - 03/26/2015
MORGAN STANLEY (MELBOURNE FL)
FL
08/21/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MELBOURNE FL)
GA
03/28/2008 - 06/23/2008
PFS INVESTMENTS INC. (DULUTH GA)
FL
10/01/2000 - 11/01/2007
WACHOVIA SECURITIES, LLC (MELBOURNE FL)
NC
08/23/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 09/12/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/22/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Sau Lee is the right advisor for you? Invested Better is here to help.
