Kathi Lee, financial advisor Hauppauge NY
93 score

Kathi Lee

CRD Number: 4525437
Current Firm: Morgan Stanley

Kathi Lee (CRD# 4525437) is an Investment Advisor Representative working at Morgan Stanley in Hauppauge, NY and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Smith Barney Melville, NY Jun 2009 - Current 7
Citigroup Global Markets Inc. Melville, NY Apr 2007 - Jun 2009 2
Barnstable Broadcasting Farmingdale, NY Jan 2005 - Oct 2007 2
Morgan Stanley & Company, Incorporated Smithtown, NY Mar 2007 - Apr 2007 < 1
Salomon Smith Barney Melville, NY Nov 2000 - Mar 2007 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2003
Contact Info for Kathi L. Lee
Phone Number: 914-225-5510
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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