Ronald T. Lee

CANDLEWOOD SECURITIES

Cleveland, OH 44114

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CRD#: 1073842

Professional summary

Ronald Te Hung Lee is a registered financial professional currently at CANDLEWOOD SECURITIES, LLC located in Cleveland, Ohio.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1982. Ronald has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Te Hung Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 2, 2014 - Present

CANDLEWOOD SECURITIES, LLC

Office #1: 600 Superior Ave. E, Suite 1800, Cleveland, OH 44114

CRD#: 126042

Cleveland, OH

Past

September 29, 2010 - May 30, 2014

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

CRD#: 135131

ENGLEWOOD, NJ

Past

September 23, 2004 - May 24, 2007

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEW YORK, NY

Past

June 7, 1999 - May 31, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 16, 1995 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

October 18, 1989 - January 10, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 9, 1988 - August 30, 1988

J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 20989

Past

November 18, 1982 - April 14, 1988

CHASE SECURITIES, INC.

CRD#: 10793

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(8/1/2014)

Exams

State Security Law Exam

Series 63

Date: 12/29/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CANDLEWOOD SECURITIES, LLC

CRD#: 126042 / SEC#: , 8-65845

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

600 Superior Ave. E, Suite 1800, Cleveland, OH 44114

Mailing Address

600 Superior Ave. E, Suite 1800, Cleveland, OH 44114

Phone number

(216) 472-6660

Established

Ohio since 09/09/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CANDLEWOOD HOLDINGS LLC	LLC OWNER
DIJOHN, ANTHONY JOHN	FINOP	6370306
HOFFMAN, MATTHEW THOMAS	CHIEF COMPLIANCE OFFICER	1144872
LATKOVIC, STEPHEN JOSEPH	CEO	5554842
POLLACK, GLENN CRAIG	MANAGING MEMBER / DIRECTOR	3155575

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.

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Ronald T. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Te Hung Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

HOULIHAN LOKEY CAPITAL, INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.

CHASE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/29/2010

SIE

Date: 10/1/2018

Series 7

Date: 10/16/1982

FINRA

Current Firm

CANDLEWOOD SECURITIES, LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CANDLEWOOD SECURITIES, LLC

TRUST BUT VERIFY

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