Carol S. 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.
Carol Slater Lee was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1984. Carol had worked at 6 firms and has passed the Series 65, Series 63, Series 3 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
June 12, 2003 - September 23, 2010
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
June 6, 2003 - September 4, 2013
NEWEDGE SECURITIES, LLC
November 23, 1994 - June 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 13, 1993 - June 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - October 27, 1993
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 26, 1984 - May 14, 1988
E. F. HUTTON & COMPANY 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
Current Firm
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
CRD#: 109771 / SEC#: 801-21527
Contact information
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.
