Lee R. Amster
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.
Lee Richard Amster was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1981. Lee had worked at 13 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2011 - April 13, 2011
OCEAN VIEW CAPITAL, LLC
May 14, 2004 - July 27, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
June 16, 2003 - December 17, 2003
MML INVESTORS SERVICES, LLC
February 14, 2003 - May 20, 2003
CAPITAL GROWTH FINANCIAL, LLC
November 17, 2000 - April 12, 2002
SCHONFELD SECURITIES, LLC
January 28, 1995 - November 30, 2000
UBS FINANCIAL SERVICES INC.
August 16, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1990 - August 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
March 25, 1986 - February 3, 1990
CIBC WORLD MARKETS CORP.
February 26, 1986 - March 14, 1986
RAUSCHER PIERCE REFSNES, INC.
May 9, 1984 - March 17, 1986
PERSHING LLC
September 3, 1982 - May 14, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
December 11, 1981 - April 19, 1982
DONALD SHELDON & CO., INC.
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 55
Date: 1/8/2001
Limited Representative-Equity Trader ExamCurrent Firm
OCEAN VIEW CAPITAL, LLC
CRD#: 148616 / SEC#: , 8-68045
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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