Lee A. Balter
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 Andrew Balter was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1956. Lee had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1985 - December 31, 1995
TUCKER ANTHONY INCORPORATED
January 6, 1977 - May 11, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
October 31, 1972 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
March 5, 1971 - November 25, 1972
SINGER & MACKIE, INC.
August 1, 1956 - February 26, 1971
TROSTER & SINGER
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
PC
Date: 5/26/1978
AMEX Put and Call ExamSeries 1
Date: 8/22/1956
Registered Representative ExaminationCurrent Firm
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
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.
