Robert E. 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.
Robert Everett Lee II was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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, 2014 - March 31, 2020
HOLCOMBE FINANCIAL, INC.
January 1, 2008 - November 11, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 11, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2000 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 10, 1994 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 28, 1993 - August 31, 1994
INVESCO DISTRIBUTORS, INC.
Primary Firm SEC Registration
HOLCOMBE FINANCIAL, INC.
CRD#: 142238 / SEC#: 801-67308
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
HOLCOMBE FINANCIAL, INC.
CRD#: 142238 / SEC#: 801-67308
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 694 |
| AUM (Assets Under Management) | $ 379,390,696 |
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.
