Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yaufan? Claim Your ProfileYaufan Fan Lee is a financial professional with over 28 years of experience in the industry. Yaufan is currently registered with Fidelity Brokerage Services LLC in Westlake, Texas. Yaufan has held prior registrations with National Financial Services LLC and Fidelity Brokerage Services LLC. Yaufan holds Series 63, 7, 8, 9, 10, and SIE licenses. Yaufan is registered in Massachusetts, Texas, and Utah.
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.
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.
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2
TX
04/22/2013 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
TX
11/07/2006 - 04/17/2013
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
TX
02/28/2003 - 11/07/2006
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
MA
03/01/2002 - 02/28/2003
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
02/09/1996 - 03/01/2002
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
RI
11/30/1994 - 02/09/1996
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
03/09/1994 - 11/21/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 05/02/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/07/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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