Craig P. Lee
Professional summary
Craig Poy Lee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Craig is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Craig had worked at 2 firms, which includes LASALLE ST SECURITIES L.L.C., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 1997 - January 16, 2004
LASALLE ST SECURITIES, L.L.C.
December 21, 1995 - March 6, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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