Richard F. 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.
Richard Fenton Lee, who also goes by Rich Lee, Richard F Lee, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 6, Series 27 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 12, 2012 - March 2, 2021
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
May 17, 2006 - April 25, 2011
EQUITABLE ADVISORS, LLC
April 28, 2004 - August 9, 2005
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 13, 2002 - April 28, 2004
PRUCO SECURITIES, LLC.
September 25, 2001 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 7, 1997 - August 21, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 17, 1995 - August 29, 2001
PRUCO SECURITIES, LLC.
May 16, 1989 - August 23, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/10/2022
General Securities Representative ExaminationCurrent Firm
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
Red Flags
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