Gifford Lee, financial advisor West Hempstead NY
93 score

Gifford Lee

CRD Number: 3019015
Current Firm: Capital One Advisors, LLC

Gifford Lee (CRD# 3019015) is an Investment Advisor Representative working at Capital One Advisors, LLC in West Hempstead, NY and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Capital One Investing LLC Franklin Square, NY Apr 2015 - Current 1
Bank Of America, N.a. Plainview, NY Feb 2012 - Feb 2015 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Plainview, NY Jan 2012 - Feb 2015 3
Citigroup Global Markets Inc. New York, NY Jun 2010 - Dec 2011 1
Chase Investment Services Corp Forest Hills, NY Jul 2009 - Jun 2010 < 1
Jp Morgan Chase Bank Na Forest Hills, NY Jul 2009 - Jun 2010 < 1
Unemployed Williston Park, NY Dec 2008 - Jul 2009 < 1
Legg Mason Investor Services, LLC Stamford, CT Dec 2005 - Dec 2008 3
Clearbridge Advisors, LLC New York, NY Dec 2005 - Dec 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1998
S65 NASAA Investment Advisors Law Examination Aug 2005
Contact Info for Gifford A. Lee
Phone Number: 206-805-0800
Registered State(s):
  • NJ
  • WA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    12
    ACCOUNTS
  • Average Account Value
    $1,343
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
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, RI, SC, SD, TN, TX, UT, VA, 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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