Lee C. Rzepinski
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 Charles Rzepinski was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1993. Lee had worked at 5 firms and has passed the Series 63, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - October 21, 2019
R.W. SMITH & ASSOCIATES, LLC
June 16, 2003 - October 16, 2014
W.A. CAPITAL MARKETS
November 26, 2001 - December 17, 2002
TULLETT PREBON FINANCIAL SERVICES LLC
May 15, 2001 - November 15, 2001
R.W. SMITH & ASSOCIATES, LLC
August 28, 2000 - October 29, 2000
BUTLER MUNI, LLC
December 13, 1993 - November 12, 1996
TITUS & DONNELLY 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
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
