Lee Erby, financial advisor Sacramento CA
93 score

Lee Erby

CRD Number: 5291267
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lee Erby (CRD# 5291267) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Sacramento, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sacramento, CA Jul 2010 - Current 6
Bank Of America, N.a. Sacramento, CA Jul 2010 - Current 6
Unemployed N/a, CA Nov 2009 - Jul 2010 < 1
Wells Fargo Advisors, LLC Napa, CA May 2009 - Nov 2009 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Mill Valley, CA Feb 2007 - May 2009 2
Coach Napa, CA Jan 2006 - Dec 2007 1
Enterprise Rent-a-car Napa, CA Aug 2006 - Feb 2007 < 1
Napa Valley Unified School District Napa, CA Apr 2006 - Feb 2007 < 1
Berkeley Police Department Berkeley, CA Aug 2004 - Aug 2006 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2007
Contact Info for Lee V. Erby
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
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 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)
  • Other
Types of Clients
Registered States

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

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