F L. Mathie
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.
F Lee Mathie, who also goes by Lee Mathie, was a registered financial professional .
F is a previously registered financial professional and started their career in finance in 1994. F had worked at 6 firms and has passed the Series 65, Series 63, Series 72, SIE 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
December 2, 2020 - December 31, 2021
CANTELLA & CO., INC.
October 20, 2018 - December 8, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 2, 2004 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
October 16, 2002 - January 5, 2004
INVESTMENT MANAGEMENT CORPORATION
January 5, 2001 - January 5, 2004
INVESTMENT MANAGEMENT CORPORATION
May 31, 1996 - January 4, 2001
TOWER SQUARE SECURITIES, INC.
October 31, 1994 - June 5, 1996
ADVANTAGE 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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
