Samuel F. Lek
Professional summary
Samuel Frederik Lek was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Samuel had worked at 3 firms, which includes LEK SECURITIES CORPORATION, ASH FINANCIAL CORP., J.P. MORGAN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1993 - October 7, 2019
LEK SECURITIES CORPORATION
July 14, 1993 - September 1, 1995
ASH FINANCIAL CORP.
November 25, 1987 - June 12, 1990
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 5/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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