Mai Lor Lee

CRD 4275973 · Wells Fargo Advisors · Charlotte, NC

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 52TOSIESeries 7Series 10Series 9Series 53Series 4Series 24Series 66Series 63
Registered states (1): North Carolina
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 11025
SEC number: 801-57434
Assets under management: $252.3B as of Jun 3, 2026
Website: stories.wf.com ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (11)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Lpl Financial LLC
Fort Mill, SC · IA capacity

Jan 2, 2019 → Feb 20, 2025
Lpl Financial LLC
Fort Mill, SC · BC capacity

Jan 9, 2018 → Feb 20, 2025
Bb&t Securities, LLC
Charlotte, NC · BC capacity

Jan 2, 2018 → Jan 2, 2018
Bb&t Investment Services, Inc.
Charlotte, NC · BC capacity

Apr 27, 2006 → Jan 2, 2018
Banc Of America Securities LLC
New York, NY · BC capacity

Mar 21, 2001 → Mar 17, 2003
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

Sep 26, 2000 → Dec 19, 2000

Source & corrections

Where this page comes from

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