Joel LeeCRD Number: 5881010
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Joel Lee (CRD# 5881010) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Ogden, UT and has over 6 years of experience in the finance industry.
Foresters Equity Services, Inc.
Stratos Wealth Partners, Ltd
Cash Flow Investment Services LLC
|Bank Of America, N.a.||Ogden, UT||Nov 2012 - Current||4|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Ogden, UT||Jun 2012 - Current||4|
|Axa Advisors, LLC||Salt Lake City, UT||Aug 2011 - Jun 2012||< 1|
|Unemployed||Ogden, UT||Oct 2010 - Aug 2011||< 1|
|Marketstar||Ogden, UT||Mar 2008 - Oct 2010||2|
|Unemployed||Ogden, UT||Jan 2008 - Mar 2008||< 1|
|Cymphonix||Sandy, UT||Feb 2007 - Mar 2008||1|
|Unemployed||Ogden, UT||Dec 2006 - Mar 2007||< 1|
|Intertape Polymer Group||Tremonton, UT||May 1996 - Dec 2006||10|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 2011|
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:
- Financial Issue
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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