Stephen Lee

Current Employers

Employment History

• 05/2010 → 02/2017
  Riversource Investments
  Minneapolis, MN
• 05/2010 → 02/2017
  Riversource Fund Distributors, Inc.
  New York, NY
• 06/2017 → 11/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 02/2017 → 06/2017
  Unemployed
  West Islip, NY
• 08/2017 → 11/2017
  Bank Of America, N.A.
  New York, NY
• 12/2017 → 12/2020
  Kpg Capital Partners
  Park City, UT
• 12/2020 → Present
  New York Life Insurance Co
  New York, NY
• 02/2021 → Present
  Nylife Securities Llc
  New York, NY
• 06/2021 → Present
  Eagle Strategies Llc
  New York, NY
• 03/2006 → 02/2017
  Columbia Management Advisors, Inc.
  New York, NY
• 03/2006 → 02/2017
  Columbia Management Group
  New York, NY

Previous Registrations

• 2017-06-09 → 2017-11-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 2010-05-01 → 2017-02-13
  Columbia Management Investment Advisers, Llc
  Minneapolis, MN
  Boston, MA
• 2006-04-18 → 2010-05-01
  Bofa Advisors, Llc
  New York, NY

Other Businesses

[Insurance Brokering; APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; One World Trade Center, 285 Fulton Street, 39th Floor, New York, NY 10007; Start Date 07/2025; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] [Property and Casualty Sales; Appointed with outside carriers for the purpose of brokering property and casualty products.; One World Trade Center, 285 Fulton Street, 39th Floor, New York, NY. 10007; Start Date 01/2026; Role/Title: Independent Contractor; Investment Related; 5 hours per month; 5 hours per month during securities trading hours]

Exams

• S66 Uniform Combined State Law Examination
  2021-05-20