Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen W. Lee is an active investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the financial services industry for over twenty years and has a broad range of experience in providing investment advice. Stephen holds Series 4, 7, 9, 10, 24, 52, 53, and 66 licenses. Stephen specializes in working with high-net-worth individuals, corporations, and charitable organizations. Stephen is committed to providing his clients with the highest level of service and personalized financial planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
04/17/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
01/14/2014 - 02/24/2014
CHELSEA FINANCIAL SERVICES (IRVINE CA)
CA
04/23/2010 - 11/15/2013
BANCWEST INVESTMENT SERVICES, INC. (CITRUS HEIGHTS CA)
CA
05/02/2009 - 04/26/2010
CHASE INVESTMENT SERVICES CORP. (PALM DESERT CA)
CA
02/05/2009 - 05/02/2009
WAMU INVESTMENTS, INC. (ANAHEIM CA)
CA
04/19/2007 - 01/29/2009
PRUCO SECURITIES, LLC. (IRVINE CA)
IA
08/25/2005 - 02/28/2007
PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)
CA
08/20/2003 - 08/16/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
MN
05/01/2002 - 07/09/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/01/2002 - 07/09/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
FL
08/02/2001 - 04/17/2002
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NJ
02/05/2001 - 04/06/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 11/26/2001
Series 66 - Uniform Combined 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 06/02/2014
Series 4 - Registered Options Principal Examination
BC
Issued 12/29/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/14/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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