Lee C. Franklin
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.
Lee Charles Franklin, who also goes by Lee Franklin, was a registered financial advisor .
Lee is a previously registered financial advisor and started their career in finance in 1996. Lee had worked at 3 firms and has passed the Series 66, Series 63, 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
August 3, 2005 - September 19, 2006
FORTA FINANCIAL GROUP, INC.
October 26, 1999 - September 19, 2006
FORTA FINANCIAL GROUP, INC.
January 22, 1998 - October 26, 1999
FIRST WALL STREET CORP.
January 31, 1997 - January 20, 1998
FORTA FINANCIAL GROUP, INC.
August 13, 1996 - February 5, 1997
JWGENESIS SECURITIES, INC.
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
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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.
