Richard L. Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Lewis Lee, who also goes by Rich Lee, Richard L Lee, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1981. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2003 - July 29, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
October 27, 2000 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2000 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 24, 1995 - October 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1985 - January 1, 1986
CITIGROUP GLOBAL MARKETS INC.
November 17, 1981 - April 27, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 2/16/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARCHER ALEXANDER SECURITIES CORPORATION
CRD#: 41555 / SEC#: , 8-49488
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
