Lee T. Welfel
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.
Lee Thomas Welfel was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1995. Lee had worked at 7 firms and has passed the Series 65, Series 63, Series 3, 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
July 12, 2004 - May 19, 2022
FISHER INVESTMENTS
March 5, 2002 - October 15, 2002
LIGHT GREEN ADVISORS LLC
April 16, 2001 - February 6, 2002
HSBC BROKERAGE (USA) INC.
June 18, 1998 - April 23, 2001
UBS FINANCIAL SERVICES INC.
October 25, 1996 - May 26, 1998
AMERIPRISE ADVISOR SERVICES, INC.
May 2, 1996 - September 4, 1996
SHAMUS GROUP, INC.
October 19, 1995 - May 22, 1996
BLUESTONE CAPITAL CORP.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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