Lee W. Geiger

PENSERRA GLOBAL INVESTORS LLC

Orinda, CA 94563

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CRD#: 1552293

Professional summary

Lee Wilson Geiger is a registered financial advisor currently at PENSERRA GLOBAL INVESTORS LLC located in Orinda, California and PENSERRA CAPITAL MANAGEMENT LLC located in Orinda, California.

Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Lee has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 53, Series 27, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SELF-EMPLOYED NOVELIST DEVOTE APPROXIMATELY 10 HOURS A MONTH OUTSIDE OF MARKET HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Wilson Geiger's CRS (Customer Relationship Summary).

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

Current

September 21, 2022 - Present

PENSERRA GLOBAL INVESTORS LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 174309

Orinda, CA

Current

September 21, 2022 - Present

PENSERRA CAPITAL MANAGEMENT LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 159042

Orinda, CA

Current

March 25, 2009 - Present

PENSERRA SECURITIES, LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

CRD#: 145994

Orinda, CA

Past

July 22, 2008 - January 30, 2009

SCREAMING EAGLE TRADING, INC.

CRD#: 126125

ORINDA, CA

Past

April 26, 2004 - June 7, 2007

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

October 1, 1997 - June 23, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 18, 1997 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

April 14, 1994 - February 19, 1997

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

Past

March 8, 1991 - March 22, 1994

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

October 22, 1986 - November 28, 1990

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/15/2009)

IAR

California
(9/21/2022)

Illinois
(3/2/2021)

Indiana
(3/5/2021)

New Jersey
(3/2/2021)

New York
(3/25/2009)

Wisconsin
(12/10/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/16/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 3

Date: 8/4/2022

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/22/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/12/2020

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/4/2020

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 9

Date: 9/7/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/1997

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENSERRA CAPITAL 20250721 (7/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 11,500,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Lee W. Geiger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Wilson Geiger's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA SECURITIES, LLC

SCREAMING EAGLE TRADING, INC.

CITIZENS JMP SECURITIES, LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

ROBERTSON, STEPHENS & COMPANY LLC

MONTGOMERY SECURITIES

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

PENSERRA CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2022

Series 63

Date: 10/28/1986

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 3

Date: 8/4/2022

SIE

Date: 10/1/2018

Series 55

Date: 3/22/2005

Series 7

Date: 10/18/1986

Series 53

Date: 10/12/2020

Series 27

Date: 9/4/2020

Series 9

Date: 9/7/1999

Series 24

Date: 7/21/1997

FINRA

Investors' Exchange LLC

NYSE Texas, Inc.

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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