Lee A. Nystrom
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 Allen Nystrom was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1989. Lee had worked at 9 firms and has passed the Series 63, SIE, Series 6 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
September 27, 2013 - November 22, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2013 - September 23, 2013
KESTRA INVESTMENT SERVICES, LLC
February 3, 2012 - September 14, 2012
MML INVESTORS SERVICES, LLC
September 20, 2010 - November 3, 2011
GUARDIAN INVESTOR SERVICES LLC
May 26, 2009 - July 20, 2010
KESTRA INVESTMENT SERVICES, LLC
February 21, 2008 - March 24, 2009
USF SECURITIES, L.P.
October 20, 2005 - February 12, 2007
AON SECURITIES LLC
February 22, 2001 - December 18, 2001
MARSH & MCLENNAN SECURITIES CORPORATION
December 30, 2000 - July 15, 2005
MMC SECURITIES LLC
January 7, 1992 - December 30, 2000
MARSH & MCLENNAN SECURITIES CORPORATION
October 4, 1989 - December 9, 1991
JOHN HANCOCK DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
