Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Lee is a financial advisor with Raymond James Financial Services Advisors, Inc. Steven has been in the financial services industry since 1999. Steven has a wide range of experience in the financial industry and holds licenses in multiple states. Steven is committed to helping clients reach their financial goals.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
04/28/2016 - Present
Raymond James Financial Services Advisors, Inc. (BREA CA)
CA
12/10/2008 - 10/21/2014
SOUTHWEST SECURITIES, INC. (BEVERLY HILLS CA)
CA
09/14/1999 - 12/31/2008
M.L. STERN & CO., LLC. (BEVERLY HILLS CA)
IA
Issued 03/10/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2015
Series 24 - General Securities Principal Examination
BC
Issued 07/31/2008
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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