Stephen S. 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.
Stephen Scott Lee was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
March 14, 2022 - April 9, 2024
SAYBRUS EQUITY SERVICES, LLC
April 22, 2021 - March 30, 2022
LPL FINANCIAL LLC
April 9, 2021 - March 30, 2022
LPL FINANCIAL LLC
November 7, 2005 - November 13, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 22, 2004 - October 7, 2005
VOYA FINANCIAL ADVISORS, INC.
July 10, 2003 - November 19, 2004
QA3 FINANCIAL CORP.
April 24, 2002 - July 8, 2003
MUTUAL SERVICE CORPORATION
March 31, 1997 - March 14, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
December 9, 1994 - February 19, 1997
COLLIERS SECURITIES LLC
October 5, 1993 - November 18, 1994
VOYAGEUR INVESTMENTS, INC.
March 29, 1988 - November 5, 1993
VOYA FINANCIAL ADVISORS, INC.
September 29, 1986 - March 1, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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