Michael Lee, financial advisor Aspen CO
73 score

Michael Lee

CRD Number: 1172560
Current Firm: First Financial Equity Corporation

Michael Lee (CRD# 1172560) is an Investment Advisor Representative working at First Financial Equity Corporation in Aspen, CO and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
First Financial Equity Corporation Aspen, CO Dec 2013 - Current 3
Private Client Service LLC Aspen, CO Sep 2011 - Dec 2013 2
Unemployed Aspen, CO Oct 2010 - Sep 2011 < 1
Merrill Lynch Aspen, CO Oct 2008 - Oct 2010 2
Rbc Capital Markets Corporation Englewood, CO Oct 2005 - Oct 2008 3
Rbc Wealth Management Aspen, CO Sep 2005 - Sep 2008 3
Rbc Dain Rauscher Aspen, CO Sep 2005 - Mar 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2001
S66 NASAA Uniform Combined State Law Examination Apr 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Michael P. Lee
Phone Number: 480-951-0079
Firm Website: http://www.ffec.com
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    2,865
    MILLIONS
  • Total Number of Accounts
    6,068
    ACCOUNTS
  • Average Account Value
    $472,074
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Educational seminars/workshops
Types of Clients
Registered States

AL, AR, AZ, CA, CO, CT, DE, FL, GA, IA, ID, IL, IN, KS, MA, MD, MI, MN, MO, MT, NC, ND, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI

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BADGES
73

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