Arthur J. 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.
Arthur Jude Lee, who also goes by Arthur J Lee, Arthur Lee, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1989. Arthur had worked at 9 firms and has passed the Series 63, Series 99TO, SIE 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
February 21, 2019 - August 10, 2021
MAREX CAPITAL MARKETS INC.
June 29, 2012 - June 14, 2016
BNP PARIBAS SECURITIES CORP.
August 19, 2008 - June 14, 2016
BNP PARIBAS PRIME BROKERAGE, INC.
August 19, 2004 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
June 5, 2001 - December 31, 2003
BANC OF AMERICA SECURITIES LLC
March 15, 2000 - May 11, 2001
BOSTON PARTNERS SECURITIES, L.L.C.
April 8, 1999 - July 2, 1999
BARCLAYS CAPITAL INC.
April 11, 1995 - March 3, 1999
LEHMAN BROTHERS INC.
January 21, 1992 - July 9, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1989 - May 7, 1991
DEUTSCHE BANK CAPITAL CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
