Lee E. Mikles
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 Edgar Mikles was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1982. Lee had worked at 6 firms and has passed the Series 63, Series 7, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1999 - March 21, 2006
URCHIN CAPITAL PARTNERS, LLC
November 18, 1992 - January 21, 1999
STROME SECURITIES, L.P.
December 10, 1990 - November 19, 1992
LEHMAN BROTHERS INC.
September 4, 1990 - December 4, 1990
WELLS FARGO CLEARING SERVICES, LLC
June 12, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 25, 1982 - June 13, 1989
DREXEL BURNHAM LAMBERT 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 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
URCHIN CAPITAL PARTNERS, LLC
CRD#: 45691 / SEC#: , 8-51131
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FADER, PETER RAAD | MANAGING MEMBER | 708219 |
| ALLICK, CHRISTOPHER WILLIAM | OWNER | 844772 |
| ALVIRA, LUIS | OWNER/SROP | 2714996 |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| DAILEY, WILLIAM THOMAS III | OWNER | 2054747 |
| DENNEN, BRIAN PATRICK | COO/CROP | 3239786 |
| DROBENAIRE, H JUSTIN | CHIEF COMPLIANCE OFFICER | 1569191 |
| FOURCHY, KATE CAMPBELL | OWNER | 2053582 |
| KELLY, PAUL EDWARD | OWNER | 2507536 |
| LARSON, JOHN WILLIAM | OWNER | 2298150 |
| SOCKOLOW, GINA HENRIETTA | OWNER | 1056959 |
| VERRIER, JOHN ANTHONY | OWNER | 454385 |
| WICK, MYRON ARMS III | OWNER | 1920961 |
Disclosures
| Regulatory Event | 1 |
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.
