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DL

Darius L. Lee

Some features on this profile are disabled
CRD#: 2739034
DL

Professional summary

Darius Lamar Lee was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Darius is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Darius had worked at 8 firms, which includes DELTA ASSET MANAGEMENT COMPANY LLC, BENSON YORK GROUP INC., SCHNEIDER SECURITIES INC., WOLFF INVESTMENT GROUP INCORPORATED, GLENN MICHAEL FINANCIAL INC., FIRST NATIONAL EQUITY CORP., PHD CAPITAL, LT LAWRENCE & CO. INC..

top-8-questions

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®
None

Experience

Past

November 13, 2000 - December 18, 2002

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

February 25, 2000 - November 14, 2000

BENSON YORK GROUP, INC.

BD
CRD#: 40231
MELVILLE, NY
Past

October 26, 1999 - February 29, 2000

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

April 24, 1998 - November 25, 1998

WOLFF INVESTMENT GROUP INCORPORATED

BD
CRD#: 21930
NEW YORK, NY
Past

December 2, 1997 - February 5, 1998

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

September 15, 1997 - November 20, 1997

GLENN MICHAEL FINANCIAL, INC.

BD
CRD#: 37912
MELVILLE, NY
Past

May 19, 1997 - September 8, 1997

FIRST NATIONAL EQUITY, CORP.

BD
CRD#: 36094
PT. PLEASANT BEACH, NJ
Past

January 10, 1997 - January 17, 1997

PHD CAPITAL

BD
CRD#: 38785
NEW YORK, NY
Past

January 10, 1997 - February 25, 1997

LT LAWRENCE & CO., INC.

BD
CRD#: 31956
NEW YORK, NY

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
RR
Series 63
Date: 10/24/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 10/18/1996
Corporate Securities Limited Representative Examination

Current Firm

DA
DELTA ASSET MANAGEMENT COMPANY, LLC
DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923 / SEC#: , 8-48888

BD
Cancelled by SEC on 12/01/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
South Carolina since 11/29/1995
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NORMAN GOLDSTEIN & ASSOCIATESSHAREHOLDER
DELTA CAPITAL HOLDING CORPSHAREHOLDER
DONNADIO, ANTHONYVP1530615
GOLDSTEIN, ADAM ROBERTCHIEF COMPLIANCE OFFICER2647994
GOLDSTEIN, ADAM ROBERTPRESIDENT2647994
LUBITZ, JACKFINOP1566639
MCCARTER, ROBERT EARLEVP/SROP/CROP1438793

Disclosures

Regulatory Event6
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923

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