Frederick M. 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.
Frederick Morgan Lee, who also goes by Fred Morgan Lee, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 9 firms and has passed the Series 63, Series 7, Series 2, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - September 2, 2014
FINANCIAL TELESIS INC
June 28, 2002 - January 4, 2019
FINANCIAL DECISIONS, INC.
February 22, 2000 - December 2, 2005
NATIONAL PLANNING CORPORATION
June 12, 1998 - March 13, 2000
ASSOCIATED SECURITIES CORP.
February 28, 1997 - November 6, 1998
FSC SECURITIES CORPORATION
March 15, 1989 - March 10, 1997
GUARDIAN INVESTOR SERVICES LLC
October 30, 1987 - January 10, 1989
D.J. KAELKER & ASSOCIATES, INC.
July 22, 1985 - December 11, 1987
AMERICAN GENERAL SECURITIES INCORPORATED
July 27, 1983 - August 31, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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 2
Date: 3/28/1996
Non-Member General Securities ExaminationCurrent Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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