David D. Lee
Professional summary
David Dai Yuan Lee, who also goes by David D. Lee, is a registered financial professional currently at FORTUNE SECURITIES, INC. located in Alhambra, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1989. David has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Dai Yuan Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2006 - Present
FORTUNE SECURITIES, INC.
Office #1: 388 E. Valley Blvd. Suite 208, Alhambra, CA 91801September 28, 2004 - October 31, 2006
FORTUNE SECURITIES, INC.
November 13, 2003 - March 31, 2004
CITICORP INVESTMENT SERVICES
June 12, 2003 - March 31, 2004
CITICORP INVESTMENT SERVICES
November 24, 1995 - June 16, 2003
NYLIFE SECURITIES LLC
December 9, 1994 - October 25, 1995
IDS LIFE INSURANCE COMPANY
December 9, 1994 - October 25, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 1989 - September 7, 1990
NYLIFE SECURITIES 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
(12/1/2006)
Exams
FINRA
Current Firm
FORTUNE SECURITIES, INC.
CRD#: 40821 / SEC#: , 8-49208
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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