David A. 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.
David Abe Lee was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2014 - July 26, 2018
OPTIMA SECURITIES LLC
September 7, 2010 - October 18, 2012
CREDIT SUISSE SECURITIES (USA) LLC
October 31, 2000 - September 15, 2010
CITIGROUP GLOBAL MARKETS INC.
September 23, 1998 - April 11, 2000
AUBREY G. LANSTON & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
OPTIMA SECURITIES LLC
CRD#: 168881 / SEC#: , 8-69337
Contact information
Documents
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.
