Alexei K. Lee
Professional summary
Alexei Kang Lee, who also goes by Alexei Lee, is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
Alexei is registered as a RR (Registered Representative) and started their career in finance in 1987. Alexei has worked at 7 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexei Kang Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2012 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901July 26, 2007 - September 17, 2007
MIDWOOD SECURITIES, INC.
October 1, 2000 - June 28, 2002
WALTER N. FRANK & CO., LLC
June 7, 1994 - January 8, 1998
MONROE PARKER SECURITIES, INC.
January 13, 1993 - June 14, 1994
ABACO INTERNATIONAL CORPORATION
August 21, 1990 - September 30, 1992
CREDIT AGRICOLE SECURITIES (USA) INC.
September 2, 1987 - January 30, 1988
DAIWA CAPITAL MARKETS AMERICA INC.
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
FINRA
Current Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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