Douglas K. 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.
Douglas Kyaw Lee was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - December 31, 2013
7X7 ASSET MANAGEMENT LLC
September 3, 2003 - July 1, 2010
SEASONS CAPITAL MANAGEMENT, LLC
March 15, 2001 - March 3, 2003
BANC OF AMERICA SECURITIES LLC
October 1, 1997 - January 1, 1999
BANC OF AMERICA SECURITIES LLC
September 28, 1995 - October 1, 1997
MONTGOMERY SECURITIES
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
7X7 ASSET MANAGEMENT LLC
CRD#: 160164 / SEC#: 801-73217
Contact information
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.
