Charles M. 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.
Charles Michael Lee III, who also goes by Charles Michael Lee, Charles Lee, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 7 firms and has passed the Series 63 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
July 15, 1997 - October 21, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
May 6, 1996 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
October 20, 1995 - June 26, 1996
NATIONWIDE SECURITIES CORPORATION
April 13, 1995 - September 13, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
August 3, 1994 - August 25, 1994
ROBERT TODD FINANCIAL CORP.
July 22, 1994 - April 4, 1995
A. T. BROD & CO. INC.
April 22, 1993 - July 20, 1994
D. H. BLAIR & 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
FIRST PROVIDENCE FINANCIAL GROUP, LLC
CRD#: 39469 / SEC#: , 8-48710
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| 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.
