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Detailed Report
Robert E Lee
ROBERT EDWARD LEE, Rob Lee
CRD#: 4388642
IA
Investment Adviser
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Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 225 S 6TH ST STE 4500
MINNEAPOLIS, MN 55402
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BVALMARK SECURITIES, INC. (CRD# 31243)2013 - 2016 (2 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2004 - 2013 (9 years)BHARTFORD EQUITY SALES COMPANY INC. (CRD# 6604)2003 - 2004 (1 year)BHARTFORD INVESTMENT FINANCIAL ... (CRD# 45995)2002 - 2002 (<1 year)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2001 - 2001 (<1 year)IAVALMARK ADVISERS, INC. (CRD# 108050)2014 - 2016 (1 year)
License(s)

State Registrations

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Alabama 9/8/2022
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Missouri 9/9/2022
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Alaska 9/19/2022
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Montana 9/8/2022
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Arizona 9/20/2022
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Nebraska 9/8/2022
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Arkansas 9/8/2022
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Nevada 9/22/2022
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California 9/8/2022
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New Hampshire 9/12/2022
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Colorado 9/9/2022
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New Jersey 9/9/2022
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Connecticut 9/8/2022
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New Mexico 9/8/2022
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Delaware 9/29/2022
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New York 9/8/2022
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District of Columbia 9/8/2022
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North Carolina 9/9/2022
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Florida 9/9/2022
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North Dakota 9/12/2022
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Georgia 9/12/2022
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Ohio 9/8/2022
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Hawaii 9/9/2022
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Oklahoma 9/8/2022
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Idaho 9/8/2022
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Oregon 9/10/2022
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Illinois 9/14/2022
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Pennsylvania 9/9/2022
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Indiana 9/8/2022
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Rhode Island 9/14/2022
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Iowa 9/8/2022
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South Carolina 9/9/2022
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Kansas 9/9/2022
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South Dakota 9/9/2022
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Kentucky 9/9/2022
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Tennessee 9/9/2022
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Louisiana 9/8/2022
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Texas 9/8/2022
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Maine 9/8/2022
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Utah 9/8/2022
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Maryland 9/8/2022
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Vermont 9/8/2022
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Massachusetts 9/12/2022
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Virginia 9/8/2022
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Michigan 9/12/2022
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Washington 9/8/2022
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Minnesota 7/4/2017
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West Virginia 9/9/2022
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Minnesota 7/4/2017
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Wisconsin 12/7/2017
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Mississippi 9/12/2022
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Wyoming 9/14/2022

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
225 S 6TH ST STE 4500, MINNEAPOLIS, MN 55402
Oakdale, MN
Registered with this firm since 7/4/2017
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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
225 S 6TH ST STE 4500, MINNEAPOLIS, MN 55402
Oakdale, MN
Registered with this firm since 7/3/2017
Previous Registration(s)
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 07/13/2016 - 06/23/2017 GRADIENT WEALTH MANAGEMENT (CRD#:127701) ARDEN HILLS, MN
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 07/12/2016 - 06/23/2017 GRADIENT SECURITIES, LLC (CRD#:127701) ARDEN HILLS, MN
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 10/20/2014 - 06/23/2016 VALMARK ADVISERS, INC. (CRD#:108050) AKRON, OH
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 08/01/2013 - 06/22/2016 VALMARK SECURITIES, INC. (CRD#:31243) AKRON, OH
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 04/30/2004 - 07/22/2013 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
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 01/03/2003 - 04/28/2004 HARTFORD EQUITY SALES COMPANY INC. (CRD#:6604) HARTFORD, CT
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 03/08/2002 - 12/20/2002 HARTFORD INVESTMENT FINANCIAL SERVICES, LLC (CRD#:45995) WAYNE, PA
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 05/03/2001 - 12/31/2001 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.