Candace J. 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.
Candace Jean Lee, who also goes by Candace J Lee, Candy J Lee, Candy Lee, Candace J Sweesy, Candy Sweesy, was a registered financial professional .
Candace is a previously registered financial professional and started their career in finance in 1987. Candace had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 1997 - September 17, 1997
TERRA NOVA FINANCIAL, LLC
February 7, 1995 - February 22, 2016
FSIC
January 3, 1994 - March 7, 1995
MADISON GROUP SECURITIES INC.
October 26, 1993 - June 2, 2016
FSIC
March 19, 1992 - December 31, 1993
ROBERT THOMAS SECURITIES, INC
January 31, 1991 - January 14, 1992
COSSE' INTERNATIONAL SECURITIES, INC.
October 25, 1988 - February 6, 1991
DETWILER FENTON WEALTH MANAGEMENT INC
September 16, 1987 - July 26, 1988
SEAFIRST SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TERRA NOVA FINANCIAL, LLC
CRD#: 37761 / SEC#: , 8-47943
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
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.
