Lee J. Macleod

Some features on this profile are disabled

CRD#: 2389604

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 James Macleod, CFP® was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1993. 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.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

December 13, 2017 - January 29, 2019

TRADIER BROKERAGE, INC.

CRD#: 104982

CHARLOTTE, NC

Past

July 26, 2017 - January 18, 2019

SEALION CAPITAL, LLC

CRD#: 171807

INDIANAPOLIS, IN

Past

March 21, 2017 - February 28, 2018

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

March 21, 2017 - September 29, 2021

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

January 12, 2017 - January 29, 2019

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

STAMFORD, CT

Past

January 10, 2017 - December 1, 2017

CRYSTAL BAY SECURITIES INC.

CRD#: 142339

DELRAY BEACH, FL

Past

January 9, 2017 - July 3, 2017

CROSS BORDER PRIVATE CAPITAL, L.L.C.

CRD#: 41054

NEW YORK, NY

Past

January 5, 2017 - January 29, 2019

TRIPOINT GLOBAL EQUITIES/BANQ(R)

CRD#: 143174

NEW YORK, NY

Past

January 5, 2017 - January 29, 2019

ALDERMAN & COMPANY CAPITAL, LLC

CRD#: 136492

DANBURY, CT

Past

December 24, 2015 - January 29, 2019

BCW SECURITIES LLC

CRD#: 144930

WESTPORT, CT

Past

November 3, 2012 - December 31, 2013

CADARET, GRANT & CO., INC.

CRD#: 10641

AMHERST, NY

Past

August 11, 2010 - September 23, 2010

TODD AND COMPANY, INC.

CRD#: 5651

GARDEN CITY, NY

Past

September 4, 2009 - January 27, 2010

TODD AND COMPANY, INC.

CRD#: 5651

GARDEN CITY, NY

Past

April 27, 2009 - November 12, 2010

JUPITER DISTRIBUTION PARTNERS, INC.

CRD#: 130850

GREENACRES, FL

Past

July 5, 2007 - May 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WILLIAMSVILLE, NY

Past

April 26, 2007 - May 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WILLIAMSVILLE, NY

Past

May 1, 1995 - April 16, 2007

M&T SECURITIES, INC.

CRD#: 17358

BUFFALO, NY

Past

September 14, 1993 - May 1, 1995

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/2/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/13/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 4/24/1998

Financial and Operations Principal Examination

Current Firm

TRADIER BROKERAGE, INC.

ROBBINS SECURITIES, INC. | TRADIER BROKERAGE, INC.

CRD#: 104982 / SEC#: , 8-52972

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3420 Toringdon Way Suite 300, Charlotte, NC 28277

Mailing Address

3420 Toringdon Way Suite 300, Charlotte, NC 28277

Phone number

(980) 272-3880

Established

Illinois since 09/17/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TRADIER, INC.	SHAREHOLDER
BENDER, STEVEN CHRISTOPHER	FINOP	2650187
LAPTEWICZ, PETER ANDREW	PRESIDENT	5257627
LEE, PAUL HYUN SEUNG	CCO	2476746
LEE, PAUL HYUN SEUNG	COO	2476746
LEPORE, CHRISTOPHER JAMES	ROSFP	4787660

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lee J. Macleod

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEALION CAPITAL, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

SPARTAN CAPITAL SECURITIES, LLC

WAYPOINT DIRECT INVESTMENTS, LLC

CRYSTAL BAY SECURITIES INC.

CROSS BORDER PRIVATE CAPITAL, L.L.C.

TRIPOINT GLOBAL EQUITIES/BANQ(R)

ALDERMAN & COMPANY CAPITAL, LLC

BCW SECURITIES LLC

CADARET, GRANT & CO., INC.

TODD AND COMPANY, INC.

TODD AND COMPANY, INC.

JUPITER DISTRIBUTION PARTNERS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

M&T SECURITIES, INC.

IFMG SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2007

Series 63

Date: 9/13/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/25/1997

Series 6

Date: 9/13/1993

Series 27

Date: 4/24/1998

Current Firm

TRADIER BROKERAGE, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRADIER BROKERAGE, INC.

TRUST BUT VERIFY

Similar Advisors