Jack C. 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.
Jack Cotton Lee was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1982. Jack had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2009 - March 31, 2016
ALLEN & COMPANY OF FLORIDA, LLC
March 20, 2009 - March 31, 2016
ALLEN & COMPANY OF FLORIDA, LLC
May 9, 1983 - March 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1982 - March 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ALLEN & COMPANY OF FLORIDA, LLC
CRD#: 25 / SEC#: 801-57874, 8-9877
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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