AL
Andrew J. Lee
CIBC WORLD MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 2507090
AL
Professional summary
Andrew J Lee is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1995. Andrew has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Andrew J Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 10, 2014 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017BD
CRD#: 630
New York, NY
Past
April 5, 2010 - April 4, 2014
TD SECURITIES (USA) LLC
BD
CRD#: 18476
NEW YORK, NY
Past
December 22, 2009 - April 16, 2010
CHATHAM FINANCIAL SECURITIES LLC
BD
CRD#: 118818
NEW YORK, NY
Past
January 28, 2002 - June 17, 2009
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
August 19, 1999 - January 29, 2002
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
October 1, 1998 - August 17, 1999
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
December 19, 1995 - October 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/10/2014)
RR
Alaska(6/10/2014)
RR
Arizona(6/10/2014)
RR
Arkansas(6/10/2014)
RR
California(6/10/2014)
RR
Colorado(6/10/2014)
RR
Connecticut(6/10/2014)
RR
Delaware(6/10/2014)
RR
District of Columbia(6/10/2014)
RR
Florida(6/10/2014)
RR
Georgia(6/10/2014)
RR
Hawaii(6/10/2014)
RR
Idaho(6/10/2014)
RR
Illinois(6/10/2014)
RR
Indiana(6/10/2014)
RR
Iowa(6/10/2014)
RR
Kansas(6/10/2014)
RR
Kentucky(6/10/2014)
RR
Louisiana(6/10/2014)
RR
Maine(6/10/2014)
RR
Maryland(6/10/2014)
RR
Massachusetts(6/10/2014)
RR
Michigan(6/10/2014)
RR
Minnesota(6/10/2014)
RR
Mississippi(6/10/2014)
RR
Missouri(6/10/2014)
RR
Montana(6/10/2014)
RR
Nebraska(6/10/2014)
RR
Nevada(6/10/2014)
RR
New Hampshire(6/10/2014)
RR
New Jersey(6/10/2014)
RR
New Mexico(6/10/2014)
RR
New York(6/10/2014)
RR
North Carolina(6/11/2014)
RR
North Dakota(6/10/2014)
RR
Ohio(6/10/2014)
RR
Oklahoma(6/10/2014)
RR
Oregon(6/10/2014)
RR
Pennsylvania(6/10/2014)
RR
Rhode Island(6/10/2014)
RR
South Carolina(6/10/2014)
RR
South Dakota(6/10/2014)
RR
Tennessee(6/10/2014)
RR
Texas(6/10/2014)
RR
Utah(6/10/2014)
RR
Vermont(6/10/2014)
RR
Virginia(6/10/2014)
RR
Washington(6/10/2014)
RR
West Virginia(6/10/2014)
RR
Wisconsin(6/10/2014)
RR
Wyoming(6/10/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CW
CIBC WORLD MARKETS CORP.
CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.
CRD#: 630 / SEC#: , 8-18333
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Mailing Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Phone number
(212) 856-4000
Established
Delaware since 07/31/1969
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
