Lee G. Wanie
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 Gj Wanie, CFA, who also goes by Lee Gordon Julian Wanie, Lee Wanie, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1996. Lee had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2021 - June 21, 2021
BMO ASSET MANAGEMENT CORP.
January 2, 2020 - June 18, 2021
FORESIDE FINANCIAL SERVICES, LLC
June 17, 2019 - December 31, 2020
BMO ASSET MANAGEMENT CORP.
January 23, 2019 - December 31, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
October 3, 2012 - March 23, 2018
BLACKROCK INVESTMENTS, LLC
February 13, 2002 - March 23, 2018
BLACKROCK FUND ADVISORS
January 23, 2001 - October 15, 2012
BLACKROCK EXECUTION SERVICES
September 13, 1996 - September 23, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
BMO ASSET MANAGEMENT CORP.
CRD#: 106466 / SEC#: 801-35533
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 7TO
Date: 3/4/2024
General Securities Representative ExaminationCurrent Firm
BMO ASSET MANAGEMENT CORP.
CRD#: 106466 / SEC#: 801-35533
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 5,186,280,670 |
Red Flags
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