Lee H. Idleman
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.
Lee Hillis Idleman was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1970. Lee had worked at 4 firms and has passed the Series 65, Series 63, Series 41, PC, Series 1 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
June 15, 1984 - October 27, 1999
NEUBERGER BERMAN BD LLC
October 8, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
October 8, 1976 - June 27, 1984
MORGAN STANLEY DW INC.
March 25, 1970 - February 18, 1977
BAKER, WEEKS & CO., INC.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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 41
Date: 11/17/1984
NYSE Allied Member ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 4/11/1966
Registered Representative ExaminationCurrent Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
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.
