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SL

Sue Lee

DORSET PEAK SECURITIES LLC
New York, NY 10014
Some features on this profile are disabled
CRD#: 2349171
SL

Professional summary

Sue Lee is a registered financial professional currently at DORSET PEAK SECURITIES LLC located in New York, New York.

Sue is registered as a RR (Registered Representative) and started their career in finance in 1996. Sue has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sue Lee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 29, 2023 - Present

DORSET PEAK SECURITIES LLC

Office #1: 416 West 13th Street, New York, NY 10014
BD
CRD#: 312209
New York, NY
Past

November 3, 2010 - November 24, 2023

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 19, 2010 - April 18, 2011

NOMURA SECURITIES NORTH AMERICA, LLC

BD
CRD#: 42885
NEW YORK, NY
Past

November 11, 2004 - July 29, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 16, 1998 - August 23, 1999

MCDANIELS & CO.

BD
CRD#: 29801
BOSTON, MA
Past

August 30, 1996 - February 19, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(11/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/12/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DP
DORSET PEAK SECURITIES LLC
DORSET PEAK SECURITIES LLC

CRD#: 312209 / SEC#: , 8-70684

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
416 West 13th Street, New York, NY 10014
Mailing Address
416 West 13th Street, New York, NY 10014
Phone number
(646) 661-3588
Established
Delaware since 12/08/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DORSET PEAK SOLUTIONS LLCSOLE MEMBER
LEVENTHAL, JACK ANDREWCEO/GSP2170953
ROTHENBERG, SHARI PFINOP6590875
VERDONE, JAMES JOSEPHCCO2581251

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.

Company Information

DORSET PEAK SECURITIES LLC

CRD#: 312209New York, NY 10014

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