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Information

Other Names: Meili Lee
Firm:
Type: Dual Registration
Description

Mei Lee is a financial professional at New England Securities Corporation, a broker-dealer with over 2,900 registered representatives nationwide. Mei has held an industry securities registration for 19 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Mei Li Lee has not answered any questions on Financial Q&A.

Top Guides

Mei Li Lee has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
New England Securities 13 years, 3 months Jan 2001 - Present
New England Financial 13 years, 3 months Jan 2001 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/12/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/12/2013
08/15/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 11/05/2001
General Securities Representative Examination Series 7 09/28/2001
Uniform Securities Agent State Law Examination Series 63 03/05/1994
Investment Company Products/Variable Contracts Representative Examination Series 6 12/04/1993

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees