Samuel Lee, financial advisor Peoria AZ

Samuel Lee

CRD Number: 4524223
Current Firm: Robert W. Baird & Company Incorporated

Samuel Lee (CRD# 4524223) is an Investment Advisor Representative working at Robert W. Baird & Company Incorporated in Peoria, AZ and has over 21 years of experience in the finance industry.

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Company Name Location Dates Years
Baird Peoria, AZ Oct 2022 - Current 1
Rbc Capital Markets, LLC Phoenix, AZ Aug 2014 - Oct 2022 8
Wells Fargo Advisors LLC Surprise, AZ May 2009 - Aug 2014 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2002
S66 NASAA Uniform Combined State Law Examination Sep 2002
Contact Info for Samuel T. Lee
Phone Number: 414-765-3500
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    287,515
    MILLIONS
  • Total Number of Accounts
    331,500
    ACCOUNTS
  • Average Account Value
    $867,315
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • 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)
  • Publication of periodicals or newsletters
  • 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, MA, 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, WY

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