Lee M. Garza
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 Mark Garza was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1994. Lee had worked at 7 firms and has passed the Series 63, Series 55, Series 3, 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 7, 2012 - October 17, 2013
GREENWICH ENERGY CAPITAL ADVISORS
December 17, 2010 - April 2, 2012
CHATHAM FINANCIAL SECURITIES LLC
September 3, 2008 - January 2, 2009
BARCLAYS CAPITAL INC.
September 12, 2005 - February 20, 2008
BANC OF AMERICA SECURITIES LLC
July 7, 2004 - August 2, 2005
RBC CAPITAL MARKETS CORPORATION
September 12, 2001 - June 16, 2004
UBS SECURITIES LLC
January 1, 1994 - March 10, 2000
MF GLOBAL 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
Series 55
Date: 9/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
GREENWICH ENERGY CAPITAL ADVISORS
CRD#: 157945 / SEC#: , 8-68871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOOD, JASJEET SINGH | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 1441430 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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