David Lee, financial advisor Manchester-by-the-Sea MA
83 score

David Lee

CRD Number: 1458143
Current Firm: Wells Fargo Advisors, LLC

David Lee (CRD# 1458143) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Manchester-by-the-Sea, MA and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors LLC Beverly, MA Oct 2013 - Current 3
Morgan Stanley Smith Barney Manchester, MA Dec 2009 - Oct 2013 3
Matrix Capital Group New York, NY Jul 2007 - Dec 2009 2
Lee Capital Management Boston, MA Mar 2000 - Dec 2009 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2007
S65 NASAA Investment Advisors Law Examination Jul 2001
S66 NASAA Uniform Combined State Law Examination Feb 2010
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David B. Lee
Phone Number: 314-875-3000
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
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
  • Selection of other advisers (including private fund managers)
  • 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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