Andre Lee

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED	2020-05-18
CT	RA	APPROVED	2018-09-26

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED

Since 2020-05-18
CT RA
APPROVED

Since 2018-09-26

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Melville	NY	11/2015	Present
Bank Of America, N.A.	Melville	NY	10/2018	Present

11/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY
10/2018 → Present

Bank Of America, N.A.

Melville, NY

Other Businesses

iPlate, Inc Non-investment related Merrick NY, Mobile electronic toll collecting President/Owner 09/19/2017 0 Hours Business was a startup that has not been awarded a contract.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-09-25

S66 Uniform Combined State Law Examination

2018-09-25

Other Names

Andre Anthony Rasheem Lee
Andre A Lee

View on SEC IAPD