Michael Lee has been an investment adviser representative at Compass Financial Management since August 2021, and is not listed among the firm’s executive officers or direct owners.
Compass Financial Management LLC is a Tampa, FL firm with $894M under management, 2,228 clients and 31 advisers across 37 offices, as of its May 2026 filing.
Michael Lee is Founder and Wealth Advisor at Michael Lee Strategy, which offers wealth planning and investment management as an investment adviser representative through Compass Financial Management. His focus is pre-retirees and retirees, combining comprehensive financial planning with investment management. He is a former Vice President in the Institutional Middle Markets group at Morgan Stanley.
Michael Lee’s longest registration is the current one, 5 years at Compass Financial Management since 2021. Before joining Compass Financial Management in 2021, Michael Lee was registered through Altium Wealth Management LLC and Investmark Advisory Group LLC.
- – present · 5 yearsNew York, NY · Adviser representative · Firm CRD 156345
- Altium Wealth Management LLC– · 1 yearPurchase, NY · Adviser representative · Firm CRD 154719
- Investmark Advisory Group LLC– · 1 yearStanford, CT · Adviser representative · Firm CRD 121060
- Commonwealth Financial Network– · 1 yearStamford, CT · Adviser representative · Firm CRD 8032
- Kestra Private Wealth Services, LLC– · 3 yearsWestport, CT · Adviser representative · Firm CRD 155193
- Morgan Stanley– · 5 yearsPurchase, NY · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 1 yearPurchase, NY · Adviser representative · Firm CRD 8209
- Citigroup Global Markets Inc.– · 1 yearStamford, CT · Adviser representative · Firm CRD 7059
- Merrill Lynch Pierce Fenner & Smith Inc.– · 1 yearMount Kisco , NY · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Michael Lee is registered as an investment adviser representative in 2 states. The first approvals date from August 2021; the most recent is Florida, in January 2023.
- FloridaSince 15 January 2023
- New YorkSince 6 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 January 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 30 October 2009 |
| Series 66 | Uniform Combined State Law Examination | 16 May 2002 |
| Series 7 | General Securities Representative Examination | 5 April 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Thomas Lee
- CRD
- 4502893
- Firm
- Compass Financial Management · CRD 156345
- Office
- New York, NY
- Registration
- Investment adviser registration
- In the industry since
- February 2004
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassfmllc.com
Where does Michael Lee work?
Michael Lee is an investment adviser representative registered through Compass Financial Management LLC since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Michael Lee a financial advisor?
Yes. Michael Lee has a current investment-adviser registration in Florida and New York, through Compass Financial Management since August 2021.
How many years of experience does Michael Lee have?
Michael Lee has 22 years in the financial industry, since February 2004, across 9 adviser firms.
What exams has Michael Lee passed?
Michael Lee has passed 4 licensing exams: the Series 7, Series 66, Series 31 and Series 65. The earliest, the Series 7, was passed in April 2002. FINRA credited Michael Lee with the SIE, which began in October 2018.
Where did Michael Lee work before Compass Financial Management?
Before Compass Financial Management, Michael Lee was registered through Altium Wealth Management LLC, October 2018 to November 2019; Investmark Advisory Group LLC, February 2017 to September 2018; Commonwealth Financial Network, February 2017 to October 2018; Kestra Private Wealth Services, LLC, July 2014 to August 2017; Morgan Stanley, June 2009 to July 2014; Morgan Stanley & Co. Incorporated, June 2007 to June 2009; Citigroup Global Markets Inc., May 2005 to May 2007; Merrill Lynch Pierce Fenner & Smith Inc., July 2003 to June 2005.
Where is Michael Lee based?
Michael Lee’s registered office is in New York, NY.
Is Michael Lee registered with FINRA?
No. Michael Lee has no current broker registration.
How can I verify Michael Lee’s record?
Search CRD 4502893 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Lee’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member