Brian 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.
Brian Matthew Lee, who also goes by Brian Lee, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 79, 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
February 8, 2011 - January 5, 2015
LLOYDS SECURITIES
December 18, 1998 - May 10, 2005
CITIGROUP GLOBAL MARKETS INC.
June 28, 1993 - December 18, 1998
CITICORP SECURITIES, 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
LLOYDS SECURITIES
CRD#: 154515 / SEC#: , 8-68647
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | |
| CRAWFORD, SUSAN ADELAIDE | HEAD OF RISK | 7415877 |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| SMITH, KELVINA MONIQUE | CHIEF LEGAL OFFICER, LSI | 7419693 |
| STEINBERG, MICHAEL NMN | CHIEF COMPLIANCE OFFICER | 1062776 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
Red Flags
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