Teresa 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.
Teresa Lee, who also goes by Yauwah Lee, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1994. Teresa had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 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
November 12, 2013 - April 27, 2017
SINGPOLI WEALTH MANAGEMENT LLC
April 8, 2011 - October 12, 2012
E-W INVESTMENTS, INC.
April 18, 2007 - May 6, 2009
HARRISDIRECT LLC
April 18, 2007 - May 6, 2009
E*TRADE SECURITIES LLC
June 25, 2003 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 25, 2003 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 18, 2000 - June 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2000 - June 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 1996 - March 20, 2000
CHARLES SCHWAB & CO., INC.
June 23, 1994 - March 6, 1996
U. S. PACIFIC FINANCIAL SERVICES, 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 8
Date: 12/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SINGPOLI WEALTH MANAGEMENT LLC
CRD#: 137889 / SEC#: , 8-67126
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
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.
