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LV

Lee Vosburgh

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CRD#: 1469656
LV

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 Vosburgh was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1986. Lee had worked at 7 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 19, 2002 - February 15, 2007

FIRST BROKERS SECURITIES LLC

BD
CRD#: 27369
JERSEY CITY, NJ
Past

February 13, 2002 - March 21, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

December 9, 1998 - August 20, 1999

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

May 22, 1995 - September 10, 1997

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

November 1, 1993 - January 23, 1995

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY
Past

February 8, 1988 - August 5, 1993

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

July 7, 1987 - February 10, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

August 19, 1986 - June 4, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/22/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination

Current Firm

FB
FIRST BROKERS SECURITIES LLC
FIRST BROKERS SECURITIES LLC | JUPITER SECURITIES, A DIVISION OF FIRST BROKERS SECURITIES LLC | FIRST BROKERS SECURITIES, INC.

CRD#: 27369 / SEC#: , 8-43035

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
Mailing Address
Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
Phone number
(212) 513-4444
Established
Delaware since 11/19/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AO-FIRST BROKERS, LLCMEMBER
ICAP GLOBAL BROKING INC.MEMBER
BERNARDO, SHAWN FRANCISDIRECTOR2513376
DOWER, ROBERT HAROLDDIRECTOR, CFO1540678
GURKOVIC, CHRISTOPHER EMERICKCOO/CCO2978797
OKEEFE, ANDREW JOHNDIRECTOR, PRESIDENT AND CEO1042045
SOLDIVIERO, LUCIANO MICHAELDIRECTOR2487532

Disclosures

Regulatory Event3

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.

Company Information

FIRST BROKERS SECURITIES LLC

CRD#: 27369

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