Sarah C. 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.
Sarah Ching Wen Lee, who also goes by Sarah C Lee, Sarah Chingwen Lee, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1988. Sarah had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2003 - February 4, 2015
RABO SECURITIES USA, INC.
March 7, 2001 - May 24, 2001
EBOND SECURITIES INC.
June 9, 1997 - February 25, 2000
J.P. MORGAN SECURITIES LLC
March 21, 1997 - June 6, 1997
CIBC WOOD GUNDY SECURITIES CORP.
February 27, 1995 - April 19, 1995
CIBC WOOD GUNDY SECURITIES CORP.
November 5, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
November 5, 1991 - March 13, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 5, 1991 - March 13, 1995
LEHMAN BROTHERS INC.
November 23, 1988 - October 15, 1991
DB ALEX. BROWN LLC
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
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
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.
