Lee H. Stowell
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 Haviland Stowell, who also goes by Lee H Mazza, Lee Hanland Mazza, Lee Stowell Mazza, Lee H Stowell, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1993. Lee had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2017 - November 14, 2018
FHN FINANCIAL SECURITIES CORP.
August 8, 2007 - June 15, 2017
CANTOR FITZGERALD & CO.
August 25, 2004 - August 7, 2007
SCOTT & STRINGFELLOW, LLC
March 13, 2002 - August 13, 2004
AURIA SERVICES CORP.
May 18, 1999 - December 18, 2000
APEX CLEARING CORPORATION
May 22, 1998 - January 27, 1999
HARRIS NESBITT CORP.
September 20, 1997 - May 19, 1998
UBS SECURITIES LLC
April 3, 1997 - September 10, 1997
MONTGOMERY SECURITIES
November 26, 1996 - March 27, 1997
SMBC NIKKO SECURITIES AMERICA, INC.
March 26, 1993 - October 31, 1996
NOMURA SECURITIES INTERNATIONAL, 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
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
