Raymond W. 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.
Raymond William Lee III, who also goes by Bill Lee, Raymond William Lee, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1986. Raymond had worked at 3 firms and has passed the Series 63, Series 55, Series 7, Series 51, Series 24, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2004 - August 8, 2007
TRADEWINDS FINANCIAL GROUP INCORPORATED
November 7, 1994 - March 1, 2004
PARAGON FINANCIAL GROUP, INCORPORATED
December 2, 1986 - August 1, 1994
DONALDSON & CO., INCORPORATED
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 55
Date: 1/14/1999
Limited Representative-Equity Trader ExamCurrent Firm
TRADEWINDS FINANCIAL GROUP INCORPORATED
CRD#: 130747 / SEC#: , 8-66388
Contact information
Documents
Red Flags
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