Paul 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.
Paul Alan Lee, who also goes by Paul Allan Lee, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 4 firms and has passed the Series 63, 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
December 7, 1994 - October 22, 1998
PATTERSON TRAVIS, INC.
November 11, 1994 - December 7, 1994
ROBERT TODD FINANCIAL CORP.
August 28, 1994 - November 11, 1994
WESTFIELD FINANCIAL CORPORATION
October 24, 1991 - September 7, 1994
HIBBARD BROWN & CO., INC.
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
PATTERSON TRAVIS, INC.
CRD#: 16540 / SEC#: , 8-34364
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
