Stephen Lee, Cfp®, Cws®, Mba Email & Phone Number

Costa Mesa, Ca, Us

Newton, Ma, Us

Serve and manage client relationships and provide sound financial planning advice in areas of investments, tax planning, pension planning, estate planning, insurance, and retirement planning. Engage with a team of specialists to deliver on the client's needs.

Overland Park, Ks, Us

Provide comprehensive wealth management advice to clients including tax strategies, estate planning, and risk management. Prepare customized financial plans and portfolios and provide access to investment opportunities reserved for high-net-worth clients. Cultivate and lead client relationships and serve as an advocate and identify unknown issues that could exist in a client's current financial situation and provide innovative strategies.

Denver, Colorado, Us

Function as the primary fiduciary advisor to high-net-worth clients, $1 million to $5 million in investable assets. Offer portfolio management, financial planning, retirement planning and in-house estate planning and tax planning and preparation. With bifurcated sales and service models, collaborated with Regional Vice Presidents on developing and implementing comprehensive financial plans and manage overall client relationships. Manage approximately 40 client relationships with a 95% retention rate and high level of client satisfaction.

Seattle, Wa, Us

Provided comprehensive wealth management solutions targeting high-net-worth individuals with $3 million in investable assets. Helped clients plan for short- and long-term goals, such as meeting education expenses and saving for retirement through investments. Sourced and maintained new client relationships through business and social networking including client events. Worked with Schwab Financial Consultants in Orange County and Riverside County as part of the Schwab Advisor Network (SAN) referral program.

New York, Ny, Us

Managed and advised on assets in excess of $600 million from established 403(b) (tax-sheltered annuity plan) relationships at public education organizations and non-profit employers. Promoted wealth management services, including cross selling of managed accounts, insurance, annuities, and banking solutions. Exceeded client book award of $100 million in total sales from 2012 to 2018. Surpassed $25 million in sales in 2017 across all product lines adopting a consultative selling approach.

Chicago, Illinois, Us

Provide highly personalized service to Wealth Management Group (WMG) clients. Responsible for managing a portfolio of clients across Orange County market, maximizing engagement by utilizing a consultative approach to understand client needs, and providing a wide range of financial solutions with a team of specialists.

San Francisco, Ca, Us

Performed investment and cash flow analytics, ran asset allocation & Monte Carlo models, developed solutions in line with department goals. Collaborated with portfolio managers, financial advisors, and private bankers to research investment solutions and present customized financial plans for prospective and current clients. Developed and piloted a new financial planning process and led various projects to implement new software to increase business development activities. Increased plans implemented by 89% from Year 1 and achieved a closing rate over 50% for opportunities over $5 million.

San Francisco, Ca, Us

Responsible for the advising and servicing of Union Bank brokerage products to internal and external customers. Assessed client investment goals, reviewed existing investment portfolios/allocations and developed a plan to meet client needs. Worked with assigned branches to enhance overall banking relations and Bank wide solutions offered to customers. Booked 5-10 client meetings per week through calling on existing relationships and conducted branch trainings with bankers and tellers on investment solutions. Passed the CFP® exam and completed the certification process in November 2008.

San Francisco, California, Us

Assessed financial needs of individuals in retail banking branches and consulted in the selection of banking and investment solutions, while engaging with internal partners in business development activities. Inaugural member of the Wachovia CA expansion team and helped launch De Nuevo branches in the Southern California area. Acquired, retained, and deepened customer relationships by matching needs with solutions in personal and business banking, lending, and investments.

Milwaukee, Wi, Us

Provided guidance, expertise, and consultation to individual clients on wealth accumulation and protection strategies by developing customized solutions to meet their financial planning goals with quality insurance and investment products. Achieved Pacesetter 40 Award in the first six months of business. Qualified for Annual Awards Trip in first year of production.

Master Of Business Administration - Mba

Bachelor Of Arts - Ba, Economics

Certified Financial Planner Professional Education Program

Cima® Certification Education Program

Bachelor'S Degree, Information Technology