Herling R. 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.
Herling Ryan Lee, who also goes by Herling Ryan Lee, was a registered financial professional .
Herling is a previously registered financial professional and started their career in finance in 1997. Herling had worked at 2 firms and has passed the Series 65, Series 63, Series 31 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
March 31, 2022 - December 31, 2024
RCM ADVISORY
October 27, 1999 - March 31, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1997 - March 31, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
RCM ADVISORY
CRD#: 319071 / SEC#:
Contact information
Red Flags
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