Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas William Lee is a financial advisor with Stifel, Nicolaus & Company, Inc., with over 24 years of experience in the industry. Thomas Lee is registered with the state of New York, Pennsylvania and Texas, and is also registered with the Financial Industry Regulatory Authority (FINRA). Thomas Lee has experience in investment advisory and brokerage services, specializing in providing services to individuals, corporations, and investment companies. Thomas Lee is also an adjunct professor at Fordham University's Gabelli School of Business.
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.
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
NY
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
10/23/2009 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/09/1998 - 09/14/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
05/18/2009 - 08/13/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
IA
Issued 04/08/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/25/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2014
Series 3 - National Commodity Futures Examination
BC
Issued 09/08/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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