Lee P. Hatcher
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.
Lee Poindexter Hatcher was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1990. Lee had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2005 - April 13, 2012
MORGAN KEEGAN & COMPANY, LLC
May 3, 2005 - April 13, 2012
MORGAN KEEGAN & COMPANY, LLC
January 9, 2004 - May 2, 2005
WELLS FARGO SECURITIES, LLC
May 22, 2002 - June 13, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2002 - June 13, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
April 22, 1998 - April 5, 1999
JACKSON SECURITIES LLC
May 24, 1995 - March 4, 1998
JACKSON SECURITIES LLC
September 21, 1994 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
December 3, 1990 - September 1, 1994
FIRST UNION CAPITAL MARKETS CORP.
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
