Richard A. 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 Andrew Lee, who also goes by Rich A Lee, Richard Andrew Lee Jr., was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 2001. Richard had worked at 6 firms and has passed the Series 63, Series 66, Series 65, SIE 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
August 2, 2013 - June 3, 2015
CALDWELL INTERNATIONAL SECURITIES
June 16, 2009 - January 20, 2010
CHASE INVESTMENT SERVICES CORP.
June 16, 2009 - January 20, 2010
CHASE INVESTMENT SERVICES CORP.
October 14, 2008 - March 4, 2009
WORLD EQUITY GROUP, INC.
April 17, 2003 - July 7, 2005
DAVID LERNER ASSOCIATES, INC.
March 7, 2002 - July 10, 2002
JOSEPH A. SANGIMINO, INC.
May 14, 2001 - January 31, 2002
MORGAN STANLEY DW 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
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
