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LM

Lee D. Mathis

Some features on this profile are disabled
CRD#: 2742825
LM

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 Dewitt Mathis was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1996. Lee had worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.

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

June 18, 2014 - August 5, 2014

SS&C MARKET SERVICES, LLC

BD
CRD#: 23568
BOSTON, MA
Past

March 13, 2013 - April 30, 2014

FIRST CLEARING, LLC

BD
CRD#: 17344
ST. LOUIS, MO
Past

May 9, 2012 - November 19, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MINNEAPOLIS, MN
Past

January 3, 2011 - November 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MINNEAPOLIS, MN
Past

November 2, 2000 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
MINNEAPOLIS, MN
Past

April 27, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

April 25, 2000 - November 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

November 20, 1998 - June 14, 1999

LUTHERAN BROTHERHOOD SECURITIES CORP.

BD
CRD#: 4205
MINNEAPOLIS, MN
Past

August 26, 1996 - August 13, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 26, 1996 - August 13, 1998

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
RR
Series 63
Date: 12/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/23/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SM
SS&C MARKET SERVICES, LLC
AE SERVICES, INC. | WALL STREET PREFERRED MONEY MANAGERS, INC. | WALL STREET ADVISORS, LLC | WALL STREET ADVISORS, INC. | WALL STREET ADVISOR SERVICES, LLC | SS&C MARKET SERVICES, LLC | DST MARKET SERVICES, LLC

CRD#: 23568 / SEC#: , 8-40530

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Post Office Square 9th Floor, Boston, MA 02109
Mailing Address
One Post Office Square 9th Floor, Boston, MA 02109
Phone number
(770) 370-4150
Established
New York since 01/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SS&C GIDS, INC.100% OWNER
BECK, DANIEL BRIANPRESIDENT3025596
LONG, PATRICK JEROMEHEAD OF OPERATIONS6093124
MULKERN, JOHN JOSEPH JR.CHIEF COMPLIANCE OFFICER AND SECRETARY4197230
SCHELL, BRIAN NORMANASSISTANT SECRETARY4414042
STUCKY, TODD DOUGLASFINOP, PRINCIPAL FINANCIAL OFFICER1551348

Disclosures

Regulatory Event1

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

SS&C MARKET SERVICES, LLC

CRD#: 23568

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