Todd A. 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.
Todd Allen Lee, who also goes by Todd A. Lee, Todd Lee, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1987. Todd had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2004 - September 11, 2009
SPRING POINT CAPITAL, LLC
February 22, 2002 - July 18, 2005
LIGHTPATH CAPITAL, INC
February 22, 2000 - December 31, 2014
ATHENA ASSET MANAGEMENT & RESEARCH, LLC
March 18, 1998 - June 18, 1999
CREDIT SUISSE SECURITIES (USA) LLC
October 10, 1996 - March 31, 1998
J.P. MORGAN SECURITIES LLC
September 19, 1988 - October 12, 1995
J.P. MORGAN SECURITIES LLC
November 25, 1987 - September 21, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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