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Raymond Lee

Raymond James & Associates, INC.
52 Years of Experience
Houston, TX
1 DisclosureBroker
View SEC Summary
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Raymond Lee is a registered investment advisor at Raymond James & Associates, INC., based in Houston, TX, with 52 years of industry experience. Raymond is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5847 San Felipe Street, Ste 3900, Houston, TX, 77057

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 1998
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
November 1994 - Present · 31 yrs 11 mos
Raymond James & Associates, INC.
November 1994 - Present · 31 yrs 11 mos
Raymond James & Associates, INC.
November 1994 - Present · 31 yrs 11 mos
Previous Registrations
Everen Securities, INC.Broker
September 1990 - November 1994 · 4 yrs 2 mos
Lovett Underwood Neuhaus & Webb, INC.Broker
September 1988 - September 1990 · 2 yrs
Smith Barney, Harris Upham & CO., IncorporatedBroker
August 1985 - October 1988 · 3 yrs 2 mos
Sunstrand Securities Corporation, INC.Broker
March 1985 - August 1985 · 5 mos
Painewebber IncorporatedBroker
October 1983 - March 1985 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - December 1978 · 3 mos
Kidder, Peabody & CO., IncorporatedBroker
June 1978 - April 1979 · 10 mos
Kidder, Peabody & CO. IncorporatedBroker
May 1978 - April 1979 · 11 mos
White, Weld & CO. IncorporatedBroker
December 1975 - September 1978 · 2 yrs 9 mos
Shearson Hayden Stone INC.Broker
November 1974 - January 1976 · 1 yr 2 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
December 1973 - November 1983 · 9 yrs 11 mos
Shearson, Hammill & CO., IncorporatedBroker
November 1973 - November 1974 · 1 yr
State Registrations4 states
FLOKTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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