Sterling S. 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.
Sterling Scott Lee was a registered financial professional .
Sterling is a previously registered financial professional and started their career in finance in 1988. Sterling had worked at 8 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2004 - August 23, 2004
WESTERN INTERNATIONAL SECURITIES, INC.
May 26, 2000 - April 24, 2004
LLOYD, SCOTT & VALENTI, LTD.
July 25, 1996 - September 29, 2000
CHOICE INVESTMENTS, INC.
January 5, 1995 - July 16, 1996
MOMENTUM INDEPENDENT NETWORK INC.
September 29, 1992 - January 4, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 1, 1991 - December 23, 1991
FIRST AFFILIATED SECURITIES
January 26, 1989 - November 16, 1994
POST OAK CAPITAL, INC.
July 13, 1988 - February 1, 1989
FORESTERS FINANCIAL SERVICES, INC.
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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
