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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Jung Lee is an investment advisor representative who has been in the industry since April 1999. Stephen is currently registered with LPL Financial LLC. Stephen is also registered as an investment advisor representative in California and Texas. Previously, Stephen worked at WADDELL & REED, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., WAMU INVESTMENTS, INC., AXA ADVISORS, LLC, MAS CAPITAL SECURITIES, INC., CHARLES SCHWAB & CO., INC., and PAINEWEBBER INCORPORATED. Stephen has passed the Series 63, 65, 7, 9, 10, 24 and SIE exams. Stephen is a registered investment advisor representative with LPL Financial LLC. Stephen specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
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.
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.
Consulting and other non-discretionary advisory services
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.
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CA
07/21/2021 - Present
LPL Financial LLC (SO. SAN FRANCISCO CA)
CA
09/29/2015 - 07/28/2021
WADDELL & REED (San Mateo CA)
CA
10/01/2012 - 07/07/2015
J.P. MORGAN SECURITIES LLC (SAN MATEO CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN MATEO CA)
IL
06/24/2003 - 05/02/2009
WAMU INVESTMENTS, INC. (NILES IL)
NY
07/03/2002 - 06/09/2003
AXA ADVISORS, LLC (NEW YORK NY)
FL
04/25/2002 - 05/09/2002
MAS CAPITAL SECURITIES, INC. (MIAMI FL)
TX
10/15/1999 - 03/25/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
08/24/1998 - 08/27/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 12/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2002
Series 24 - General Securities Principal Examination
BC
Issued 06/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/26/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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