William J. Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Jeffrey Lee, who also goes by Jeff Lee, William J Lee, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2010 - October 5, 2011
AVANTAX INVESTMENT SERVICES, INC.
June 4, 2010 - January 6, 2011
WELLS FARGO INVESTMENTS, LLC
October 12, 2009 - February 2, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 27, 2009 - February 2, 2023
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2008 - January 14, 2009
J.A. GLYNN INVESTMENTS, LLC.
January 1, 2008 - May 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 19, 1990 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 23, 1990 - November 9, 1990
OPPENHEIMER & CO. INC.
March 17, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
November 18, 1988 - April 5, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
October 22, 1986 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
