Thomas William Lee

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → Present
  Stifel, Nicolaus & Company, Incorporated
  New York, NY

Previous Registrations

• 2010-04-09 → 2015-12-04
  Barclays Capital Inc.
  New York, NY
  New York, NY

Other Businesses

1. Cornell ILR Alumni Association Finance Council; 216 Ives Hall Ithaca NY 14853; association of alumni in the finance industry; Member Finance Council; quarterly meeting/call outside of business hours. Host/attends meetings with fellow alumni and students; affiliation started 07/01/2015; 4.0 hours per year; not during securities trading hours; not investment-related. 2. Emory University School of Law Center for Transactional Law and Practice; 1301 Clifton Rd Atlanta GA 30322; Emory Law Center focused on helping students develop transactional law skills; Advisory Board member; provide advice to the Dean; affiliation started 07/31/2017; 4.0 hours per year; during securities trading hours; not investment-related. 3. 89 Slate LLC; 29 The Terrace, Manhasset, NY 11030; LLC to hold home as a rental; Managing Member; Ownership and receipt of rent; 05/14/2021; 4 Hours per Year; Not During Securities Trading Hours; Investment-Related. 4. Fordham University, Gabelli School of Business; 140 West 62nd St, New York, NY 10023; Adjunct Professor; Teaching a business course; 08/31/2022; 3 Hours per Week; During securities trading hours; Not Investmnet-Related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-04-08
• S63 Uniform Securities Agent State Law Examination
  1998-12-07

Other Names

• Thomas W Lee