Lee A. Hunter
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 August Hunter, who also goes by Lee August Polizzano, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1997. Lee had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 25 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 17, 2014 - August 28, 2015
BMO CAPITAL MARKETS CORP.
October 1, 2009 - March 20, 2014
CITIGROUP GLOBAL MARKETS INC.
October 8, 2003 - May 16, 2007
KV EXECUTION SERVICES LLC
July 20, 1998 - October 8, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 1998 - April 10, 1998
TRANS-HUDSON, L.L.C.
December 22, 1997 - May 3, 1999
DIRECT BROKERAGE, INC.
August 14, 1997 - December 1, 1997
GKN SECURITIES CORP.
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 55
Date: 3/29/2001
Limited Representative-Equity Trader ExamSeries 25
Date: 5/20/1999
NYSE Trading Assistant ExaminationCurrent Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
Red Flags
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