Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Raymond Lee is a financial advisor with over 40 years of experience in the industry. Stephen is a registered representative with Wells Fargo Clearing Services, LLC and has held previous roles with firms such as UBS Financial Services Inc. and Smith Barney Shearson Inc. Stephen's expertise includes financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients.
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
OH
08/19/2015 - Present
Wells Fargo Clearing Services, LLC (CINCINNATI OH)
OH
12/04/2014 - 08/05/2015
WELLS FARGO ADVISORS, LLC (CINCINNATI OH)
OH
11/27/1996 - 12/15/2014
UBS FINANCIAL SERVICES INC. (CINCINNATI OH)
TN
08/23/1994 - 12/03/1996
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
OH
06/27/1994 - 09/02/1994
MCDONALD & COMPANY SECURITIES, INC. (CLEVELAND OH)
NY
07/31/1993 - 05/12/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
11/17/1982 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/27/1979 - 11/24/1982
E. F. HUTTON & COMPANY INC
IA
Issued 08/05/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/10/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1979
Series 7 - General Securities 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 Stephen Lee is the right advisor for you? Invested Better is here to help.
