Nicole R. 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.
Nicole Rachelle Lee, who also goes by Nicole Rachelle Lim, Nicole Lim, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1994. Nicole had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2008 - March 2, 2012
ALAMO CAPITAL
April 25, 2008 - March 2, 2012
ALAMO CAPITAL
June 22, 2006 - May 30, 2008
REDWOOD SECURITIES GROUP, INC.
June 22, 2006 - May 30, 2008
REDWOOD SECURITIES GROUP, INC.
March 21, 2003 - June 29, 2006
RYAN BECK & CO.
April 29, 2002 - June 29, 2006
RYAN BECK & CO.
April 15, 2002 - May 13, 2002
GRUNTAL & CO., L.L.C.
October 11, 2000 - April 10, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
April 29, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
