Richard S. 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.
Richard Sang Lee, who also goes by Richard S Lee, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 7 firms and has passed the Series 63, Series 55 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
October 25, 2011 - September 6, 2013
ECHOTRADE LLC
December 8, 2010 - October 21, 2011
ECHOTRADE LLC
September 23, 2008 - June 8, 2010
ECHOTRADE LLC
May 13, 2004 - March 30, 2006
TD AMERITRADE, INC.
May 20, 2003 - October 29, 2003
LAVAFLOW, INC.
December 13, 2001 - September 18, 2002
NAVILLUS SECURITIES, INC.
July 25, 2001 - January 4, 2002
WORLDCO, L.L.C.
May 22, 2000 - September 13, 2000
GRUNTAL & CO., L.L.C.
April 24, 1997 - May 8, 2000
TD AMERITRADE, INC.
May 21, 1996 - April 7, 1997
M.S. FARRELL & COMPANY, 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
Series 55
Date: 6/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
ECHOTRADE LLC
CRD#: 42239 / SEC#: , 8-49764
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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