Viola 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.
Viola Lee was a registered financial professional .
Viola is a previously registered financial professional and started their career in finance in 1985. Viola had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - March 10, 2020
CHARLES SCHWAB & CO., INC.
February 2, 2018 - March 10, 2020
CHARLES SCHWAB & CO., INC.
April 13, 2016 - June 15, 2016
APW CAPITAL, INC.
March 28, 2016 - June 29, 2016
TACTIVEST, LLC
May 29, 2007 - April 30, 2014
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 30, 2014
CITIGROUP GLOBAL MARKETS INC.
November 14, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 26, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 2, 2001 - July 6, 2001
WELLS FARGO INVESTMENTS, LLC
February 8, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 12, 1994 - January 18, 2001
FIDELITY BROKERAGE SERVICES LLC
May 30, 1992 - October 3, 1994
BA INVESTMENT SERVICES, INC.
December 7, 1990 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
June 13, 1988 - November 2, 1990
LEGG MASON WOOD WALKER, INCORPORATED
September 17, 1986 - June 21, 1988
TUCKER ANTHONY INCORPORATED
December 12, 1985 - October 1, 1986
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 12/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
