Brian A. 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.
Brian Albert Lee was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1990. Brian had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 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 22, 2021 - July 2, 2021
ARIEL DISTRIBUTORS, LLC
June 15, 2015 - December 14, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 1, 2013 - October 22, 2014
VP DISTRIBUTORS LLC
April 14, 2010 - February 22, 2013
MML INVESTORS SERVICES, LLC
November 27, 2001 - October 14, 2008
VP DISTRIBUTORS LLC
August 27, 2001 - October 15, 2001
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
November 6, 1990 - September 3, 1999
VP DISTRIBUTORS 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
ARIEL DISTRIBUTORS, LLC
CRD#: 38333 / SEC#: , 8-48238
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARIEL INVESTMENTS HOLDING COMPANY, LLC | SOLE UNITHOLDER | |
| CALDERON, CARLOS ESTUARDO | SENIOR VICE PRESIDENT, FINANCE | 6864114 |
| CAMPBELL, ROBERT NMN | FINOP, PFO, POO | 1349154 |
| FOX, WENDY DEVORAH | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4870574 |
| ORLOWSKI, BONNIE ELIZABETH | PRESIDENT, CHAIRMAN, MANAGER | 3121598 |
| RODRIGUEZ-AYALA, EMMA LEONOR | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 6183654 |
| WEBER, ROOPA PATEL | SENIOR VICE PRESIDENT, DIRECTOR OF MARKETING AND SPECIAL PROJECTS | 3026056 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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