Kerry E. 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.
Kerry Elizabeth Lee, CFP® was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1996. Kerry had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2019 - December 23, 2020
EDELMAN FINANCIAL ENGINES
January 3, 2006 - March 19, 2013
CHARLES SCHWAB & CO., INC.
June 7, 2005 - March 19, 2013
CHARLES SCHWAB & CO., INC.
March 12, 2004 - January 18, 2005
CREDIT SUISSE SECURITIES (USA) LLC
March 12, 2004 - January 18, 2005
CREDIT SUISSE SECURITIES (USA) LLC
September 3, 2002 - March 31, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2002 - March 31, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2001 - June 20, 2001
EQUITABLE ADVISORS, LLC
April 28, 2000 - November 7, 2000
CITIGROUP GLOBAL MARKETS INC.
September 29, 1998 - December 20, 1999
CHARLES SCHWAB & CO., INC.
October 10, 1996 - September 1, 1998
SCHRODER & CO. INC.
April 30, 1996 - August 22, 1996
PERSHING LLC
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
