Yaufan F. Lee
Professional summary
Yaufan Fan Lee, who also goes by Frank Lee, Yau Fan Lee, Yau Frank Lee, Yaufan Fan Lee, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Yaufan is registered as a RR (Registered Representative) and started their career in finance in 1994. Yaufan has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yaufan Fan Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262November 7, 2006 - April 17, 2013
NATIONAL FINANCIAL SERVICES LLC
February 28, 2003 - November 7, 2006
FIDELITY BROKERAGE SERVICES LLC
March 1, 2002 - February 28, 2003
NATIONAL FINANCIAL SERVICES LLC
February 9, 1996 - March 1, 2002
FIDELITY BROKERAGE SERVICES LLC
November 30, 1994 - February 9, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
March 9, 1994 - November 21, 1994
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/3/2013)
(5/3/2013)
(1/2/2015)
Exams
Series 8
Date: 4/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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