Thomas H. Lee
Professional summary
Thomas Hugh Lee JR, who also goes by Thomas Hugh Lee, Tommy Lee, is a registered financial advisor currently at SMITH, MOORE & CO. located in Brandon, Mississippi.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Hugh Lee JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Hugh Lee JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2020 - Present
SMITH, MOORE & CO.
Office #1: 190 Gateway Drive Suite C, Brandon, MS 39042Office #2: 173 E. Maud Ave., Mendenhall, MS 39114March 6, 2020 - Present
SMITH, MOORE & CO.
Office #1: 190 Gateway Drive Suite C, Brandon, MS 39042January 2, 2009 - March 12, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 21, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 5, 2007 - March 12, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 5, 2007 - February 1, 2007
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 5, 2007 - February 1, 2007
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 1, 2004 - January 12, 2007
CETERA ADVISORS LLC
January 1, 2004 - January 12, 2007
CETERA ADVISORS LLC
January 4, 2002 - January 1, 2004
IFG ADVISORY SERVICES INC
May 31, 1995 - January 2, 2004
IFG NETWORK SECURITIES, INC.
December 15, 1993 - March 26, 2003
BTS ASSET MANAGEMENT, INC.
July 29, 1986 - May 24, 1995
TITAN/VALUE EQUITIES GROUP, INC.
February 25, 1986 - August 8, 1986
MML INVESTORS SERVICES, LLC
May 9, 1983 - March 6, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 9, 1983 - March 10, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
May 9, 1983 - March 10, 1986
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/23/2020)
(3/6/2020)
(3/6/2020)
(3/23/2020)
(3/6/2020)
(3/6/2020)
(3/6/2020)
(3/6/2020)
Exams
FINRA
Current Firm
SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
Contact information
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCH, STEWART JAMES JR | PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR | 2537447 |
| SCHULTE, TIMOTHY EUGENE | CHAIRMAN OF THE BOARD, DIRECTOR | 1869986 |
| RHYNER, RANDALL PAUL | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2443274 |
| SCHMIDT, KENT CHARLES | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2153325 |
| BRAGG, MATTHEW EDWARD | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 2279799 |
| BRODY, AMY LYNN | CHIEF FINANCIAL OFFICER, FINOP | 6486826 |
| KRAFT, BARBARA ANN | CHIEF OPERATING OFFICER | 1225082 |
| MORAN, DANIEL PATRICK | CHIEF TECHNOLOGY OFFICER | 2685632 |
| PERRYMAN, JARET DALIN | CHIEF COMPLIANCE OFFICER | 3034594 |
Regulatory assets under management
| Total Number of Accounts | 5,353 |
| AUM (Assets Under Management) | $ 2,008,286,156 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
