Brian C. 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.
Brian Cary Lee was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2016 - March 15, 2022
CARILLON FUND DISTRIBUTORS, INC.
November 12, 2013 - April 18, 2016
CNL SECURITIES CORP.
January 1, 2010 - November 8, 2013
INVESCO ADVISERS, INC.
April 28, 2005 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
October 18, 2004 - November 8, 2013
INVESCO DISTRIBUTORS, INC.
September 24, 2002 - October 15, 2004
HARRISDIRECT LLC
September 23, 2002 - October 15, 2004
HARRISDIRECT LLC
December 16, 1991 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
November 27, 1989 - December 11, 1991
LEHMAN BROTHERS INC.
December 26, 1986 - February 10, 1989
RAYMOND JAMES & ASSOCIATES, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CARILLON FUND DISTRIBUTORS, INC.
CRD#: 139749 / SEC#: , 8-67244
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EAGLE ASSET MANAGEMENT INC | PARENT COMPANY | 110653 |
| EDWARDS, CHARLES MICHAEL | DIRECTOR | 5342028 |
| GEORGIEV, TSVETELINA ELKOVA | CCO | 5130225 |
| GERVAIS, BRYAN L | CFO, PRINCIPAL FINANCIAL OFFICER / FINOP, DIRECTOR | 5286391 |
| LILLIAN, JORDAN ALEXANDER | CEO, PRESIDENT, DIRECTOR | 5444726 |
| SOUSA, DAMIAN DANIEL | DIRECTOR | 2061882 |
| WALZER, SUSAN LAVELLE | DIRECTOR | 2976646 |
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.
