Mark D. 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.
Mark David Lee was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 8 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2014 - November 17, 2014
LOCORR DISTRIBUTORS, LLC
June 20, 2011 - October 3, 2013
QUASAR DISTRIBUTORS, LLC
October 5, 2010 - May 31, 2011
FORESIDE FUNDS DISTRIBUTORS LLC
February 15, 2007 - December 15, 2008
CLEARBRIDGE INVESTMENTS, LLC
February 15, 2007 - December 15, 2008
FRANKLIN DISTRIBUTORS, LLC
August 8, 2006 - February 2, 2007
LORD, ABBETT & CO. LLC
August 1, 1994 - February 2, 2007
LORD ABBETT DISTRIBUTOR LLC
April 15, 1994 - September 27, 1994
TIAA-CREF INDIVIDUAL & INSTITUTIONAL 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
Exams
Current Firm
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
