William 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 Lee, who also goes by William Lee, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2009. William had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2020 - April 16, 2021
FISHER INVESTMENTS
October 7, 2019 - January 23, 2020
MORGAN STANLEY
October 7, 2019 - January 23, 2020
MORGAN STANLEY
November 16, 2018 - August 26, 2019
CITI PRIVATE ALTERNATIVES, LLC
August 8, 2017 - August 26, 2019
CITIGROUP GLOBAL MARKETS INC.
August 8, 2017 - August 26, 2019
CITIGROUP GLOBAL MARKETS INC.
June 24, 2015 - January 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2015 - January 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2010 - April 28, 2010
CHARLES MORGAN SECURITIES, INC.
September 17, 2009 - April 9, 2010
CHASE INVESTMENT SERVICES CORP.
April 27, 2009 - May 8, 2009
PRUCO SECURITIES, LLC.
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 | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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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