Lee H. Fontaine
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 Hardin Fontaine was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1984. Lee had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2012 - August 3, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 5, 2012 - August 3, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 10, 2011 - September 14, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - September 14, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 29, 2010 - December 31, 2010
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
January 28, 2010 - July 21, 2010
TRUIST INVESTMENT SERVICES, INC.
January 15, 2010 - July 21, 2010
TRUIST INVESTMENT SERVICES, INC.
October 23, 2009 - November 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 14, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 31, 1999 - September 17, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
March 14, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 14, 1994 - August 31, 1999
SIGNATOR INVESTORS, INC.
September 20, 1984 - January 30, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
