Lee James Macleod
CFP®Professional Summary
Lee James Macleod, CFP® was a registered financial advisor. Lee was a previously registered financial professional and started their career in finance 1993 - 2019. Lee had worked at 16 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
ROBBINS SECURITIES, INC. | TRADIER BROKERAGE, INC.
Contact Information
Main Address
3420 Toringdon Way Suite 300, Charlotte, NC 28277Mailing Address
3420 Toringdon Way Suite 300, Charlotte, NC 28277Phone Number
(980) 272-3880Established
Illinois since 09/17/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1993About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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