Elliott H. 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.
Elliott Henry Lee was a registered financial professional .
Elliott is a previously registered financial professional and started their career in finance in 1985. Elliott had worked at 11 firms and has passed the Series 63, Series 6 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
March 4, 2011 - July 15, 2014
P.J. ROBB VARIABLE, LLC
December 20, 2005 - April 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2004 - September 26, 2005
WOODBURY FINANCIAL SERVICES, INC.
March 2, 2004 - August 2, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
August 16, 1994 - January 7, 1997
MML INVESTORS SERVICES, LLC
July 28, 1992 - December 31, 1993
OLD SLIP CAPITAL MANAGEMENT, INC.
July 25, 1991 - June 29, 1992
MONY SECURITIES CORPORATION
October 1, 1990 - June 13, 1991
WS GRIFFITH SECURITIES, INC.
October 1, 1990 - June 13, 1991
HOME LIFE INSURANCE COMPANY
November 12, 1987 - July 17, 1989
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 19, 1985 - October 14, 1987
NEW ENGLAND SECURITIES
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
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
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