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AL

Alan L. Lee

Some features on this profile are disabled
CRD#: 2723566
AL

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.

Alan Lewis Lee, CFP® was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1996. Alan had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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®
CFP®

Certified Financial Planner

Start date: 1997

Experience

Past

September 28, 1999 - November 28, 2001

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

October 27, 1998 - November 13, 2022

STRATEGIC WEALTH MANAGEMENT, LLC

RIA
CRD#: 123321
PEORIA, IL
Past

June 3, 1996 - November 26, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 3, 1996 - November 26, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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: 7/24/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/1996
General Securities Representative Examination

Current Firm

NI
NATCITY INVESTMENTS, INC.
FOLIO ONE | NATIONAL CITY INVESTMENTS CAPITAL, INC. | NATCITY INVESTMENTS, INC. | MERCHANTS SECURITIES COMPANY

CRD#: 17490 / SEC#: , 8-35288

BD
Terminated by SEC on 01/24/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 12/13/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE PNC FINANCIAL SERVICES GROUP, INC.PARENT
FABRIZI, SILVIO PAULCHIEF COMPLIANCE OFFICER4321545
MCLAUGHLIN, CHARLOTTE BEHMPRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS2849217
SINGER, DOUGLAS LAWRENCEPRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL1721973
SUHANIC, JEFFREY DREWSENIOR VICE PRESIDENT, DIRECTOR2124910
TANNER, LEONARD EUGENEVICE CHAIRMAN442470
WILSON, CHARLENE FAITHVICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER1935747

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

NATCITY INVESTMENTS, INC.

CRD#: 17490

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