Raymond W. 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.
Raymond Wai-man Lee, who also goes by Raymond Wai Lee, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1995. Raymond had worked at 7 firms and has passed the Series 63, Series 65, Series 6 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
March 11, 2011 - July 15, 2013
WORLD CHOICE SECURITIES, INC.
June 12, 2007 - February 26, 2009
COREBRIDGE CAPITAL SERVICES, INC.
June 7, 2006 - April 13, 2007
VOYA FINANCIAL PARTNERS, LLC
October 4, 2005 - February 14, 2006
ING DIRECT SECURITIES INC.
October 14, 1996 - June 24, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 26, 1995 - October 24, 1996
CITIGROUP GLOBAL MARKETS INC.
April 18, 1995 - October 2, 1995
INTERFIRST CAPITAL CORPORATION
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
WORLD CHOICE SECURITIES, INC.
CRD#: 30933 / SEC#: , 8-45235
Contact information
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 24,955,000 |
Disclosures
| Regulatory Event | 2 |
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.
