Scott M. 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.
Scott Michael Lee was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - July 6, 2021
QUASAR DISTRIBUTORS, LLC
January 21, 2009 - September 26, 2017
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 8, 2008 - September 26, 2017
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
May 1, 2001 - August 23, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 9, 1998 - May 4, 2001
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
September 10, 1994 - September 16, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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