Catherine M. Lee-christen
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.
Catherine M Lee-christen, who also goes by Catherine M Lee, Catherine Lee, Catherine Marie Lee-mcavan, Catherine Marie Leemcavan, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1997. Catherine had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2015 - July 21, 2016
LUCIA CAPITAL GROUP
March 18, 2015 - July 21, 2016
LUCIA SECURITIES, LLC
November 7, 2013 - January 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2013 - January 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2013 - September 27, 2013
KESTRA INVESTMENT SERVICES, LLC
April 5, 2010 - February 18, 2011
KESTRA INVESTMENT SERVICES, LLC
September 26, 2006 - March 5, 2009
CHARLES SCHWAB & CO., INC.
October 31, 2005 - August 18, 2006
OSAIC SERVICES, INC.
June 10, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 4, 2003 - May 8, 2003
LPL FINANCIAL LLC
November 1, 2000 - April 26, 2001
SUNAMERICA SECURITIES, INC.
April 5, 2000 - October 6, 2000
LPL FINANCIAL LLC
October 16, 1997 - July 19, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 7, 1997 - October 17, 1997
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
LUCIA CAPITAL GROUP
CRD#: 152396 / SEC#: 801-71073
Contact information
Red Flags
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