Katrina C. 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.
Katrina Cross Lee, who also goes by Katrina Nicole Cross, Katrina C Lee, was a registered financial professional .
Katrina is a previously registered financial professional and started their career in finance in 2000. Katrina had worked at 7 firms and has passed the Series 63, 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
September 30, 2013 - June 8, 2018
M&T SECURITIES, INC.
August 20, 2013 - June 8, 2018
M&T SECURITIES, INC.
July 12, 2013 - July 25, 2018
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
August 24, 2009 - March 30, 2012
TOWER SQUARE SECURITIES, INC.
June 12, 2009 - March 30, 2012
TOWER SQUARE SECURITIES, INC.
August 16, 2007 - December 10, 2008
BROWN BROTHERS HARRIMAN & CO.
August 14, 2006 - July 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2006 - July 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2004 - August 4, 2006
BROWN BROTHERS HARRIMAN & CO.
March 7, 2002 - October 26, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
February 23, 2000 - May 17, 2004
FAM DISTRIBUTORS, 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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | PRINCIPAL FINANCIAL OFFICER/FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
