AL
Andy T. Lee
PARKLAND SECURITIES
Rosemead, CA 91770
Some features on this profile are disabled
CRD#: 1255895
AL
Professional summary
Andy Tay Lee, who also goes by Tay Hon Ly, is a registered financial professional currently at PARKLAND SECURITIES, LLC located in Rosemead, California.
Andy is registered as a RR (Registered Representative) and started their career in finance in 1985. Andy has worked at 5 firms and has passed the SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tay Hon Ly
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Andy Tay Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 9, 2002 - Present
PARKLAND SECURITIES, LLC
Office #1: 3089 Del Mar Ave., Rosemead, CA 91770BD
CRD#: 115368
Rosemead, CA
Past
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 20, 1996 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
January 4, 1990 - March 14, 1994
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
January 18, 1985 - March 13, 1989
MONY SECURITIES CORPORATION
BD
CRD#: 4386
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/9/2002)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PARKLAND SECURITIES, LLC
PARKLAND SECURITIES, LLC | SAMMONS SECURITIES COMPANY, LLC
CRD#: 115368 / SEC#: , 8-53482
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
300 Parkland Plaza, Ann Arbor, MI 48103
Phone number
(734) 663-1611
Established
Delaware since 07/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| CARL F. ELLISON, JR. GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| BAUER, KRISTEN ANNE | TRUSTEE OF THE KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | 2457506 |
| DUNBAR, THERESA LYNN | TRUSTEE OF THE THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | 7346975 |
| ELLISON, CARL | TRUSTEE OF THE CARL F. ELLISON JR. GIFT TRUST DATED 10/30/2020 | 7342594 |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT AND TRUSTEE OF THE BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | 2933397 |
| RYDELL, JEROME MATTHEW | TRUSTEE OF THE JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | 7346979 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN, MANAGER AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED | 408389 |
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING INTERESTS) | |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
