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LL

Lawrence Y. Lee

Some features on this profile are disabled
CRD#: 2612348
LL

Professional summary

Lawrence Y Lee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lawrence is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Lawrence had worked at 10 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, BROKERSXPRESS LLC, NATIONAL SECURITIES CORPORATION, FIRST MONTAUK SECURITIES CORP., ACCESS FINANCIAL GROUP INC., KEYBANC CAPITAL MARKETS INC., WELLS FARGO CLEARING SERVICES LLC, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, J.P. MORGAN SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Lee

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 20, 2008 - November 11, 2010

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
LAKEMARY, FL
Past

July 10, 2007 - February 15, 2008

BROKERSXPRESS LLC

BD
CRD#: 127081
CHICAGO, IL
Past

December 4, 2006 - July 2, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

April 15, 2005 - October 9, 2006

FIRST MONTAUK SECURITIES CORP.

RIA
CRD#: 13755
CHICAGO, IL
Past

April 15, 2005 - October 9, 2006

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
CHICAGO, IL
Past

January 14, 2002 - December 31, 2004

ACCESS FINANCIAL GROUP, INC.

BD
CRD#: 33065
CHICAGO, IL
Past

January 16, 2001 - October 16, 2001

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

September 8, 1998 - January 11, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 2, 1998 - September 16, 1998

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 15, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

January 1, 1996 - January 16, 1997

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/29/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/1995
General Securities Representative Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

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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Company Information

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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