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RL

Robert E. Lee

Some features on this profile are disabled
CRD#: 1824202
RL

Professional summary

Robert Edward Lee JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Robert had worked at 11 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, GUNNALLEN FINANCIAL INC, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., BUCKMAN BUCKMAN & REID INC., PACIFIC CONTINENTAL SECURITIES CORPORATION, PATTERSON TRAVIS INC., ROBERT TODD FINANCIAL CORP., WESTFIELD FINANCIAL CORPORATION, HIBBARD BROWN & CO. INC., SHERWOOD CAPITAL INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 16, 2009 - August 14, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
DANBURY, CT
Past

March 17, 2005 - November 24, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW HAVEN, CT
Past

October 23, 2002 - April 1, 2005

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

August 7, 2000 - October 23, 2002

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

January 31, 2000 - September 6, 2000

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
LITTLE SILVER, NJ
Past

December 14, 1998 - February 23, 2000

PACIFIC CONTINENTAL SECURITIES CORPORATION

BD
CRD#: 2398
BEVERLY HILLS, CA
Past

December 7, 1994 - December 7, 1998

PATTERSON TRAVIS, INC.

BD
CRD#: 16540
ENGLEWOOD, CO
Past

November 11, 1994 - December 23, 1994

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY
Past

August 28, 1994 - November 11, 1994

WESTFIELD FINANCIAL CORPORATION

BD
CRD#: 8143
NEW YORK, NY
Past

May 24, 1988 - September 12, 1994

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY
Past

April 19, 1988 - May 28, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/3/1993
General Securities Principal Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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