Morgan B. Lee

FORESIDE FINANCIAL SERVICES

New York, NY 10019

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CRD#: 2953708

Professional summary

Morgan Bertram Lee, CIMA®, who also goes by Morgan Lee, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in New York, New York.

Morgan is registered as a RR (Registered Representative) and started their career in finance in 1998. Morgan has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Morgan Lee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Morgan Bertram Lee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 8, 2024 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 1325 Avenue Of The Americas Suite 2818, New York, NY 10019

CRD#: 148477

New York, NY

Past

September 19, 2019 - April 2, 2024

DFA SECURITIES LLC

CRD#: 10292

SANTA MONICA, CA

Past

September 18, 2019 - April 2, 2024

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

SANTA MONICA, CA

Past

July 27, 2018 - August 23, 2019

RESPONSIBLE WEALTH, LLC

RIA

CRD#: 297202

LAKE OSWEGO, OR

Past

December 16, 2014 - March 2, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

London,

Past

April 20, 2006 - December 31, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

May 16, 2000 - April 24, 2006

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

Past

November 24, 1999 - May 10, 2000

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

June 9, 1999 - October 8, 1999

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

June 12, 1998 - June 7, 1999

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

March 10, 1998 - July 14, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/8/2024)

Alaska
(5/8/2024)

Arizona
(5/8/2024)

Arkansas
(5/8/2024)

California
(5/8/2024)

Colorado
(5/8/2024)

Connecticut
(5/8/2024)

Delaware
(5/8/2024)

District of Columbia
(5/8/2024)

Florida
(5/8/2024)

Georgia
(5/8/2024)

Hawaii
(5/8/2024)

Idaho
(5/8/2024)

Illinois
(5/8/2024)

Indiana
(5/8/2024)

Iowa
(5/8/2024)

Kansas
(5/8/2024)

Kentucky
(5/8/2024)

Louisiana
(5/8/2024)

Maine
(5/8/2024)

Maryland
(5/8/2024)

Massachusetts
(5/8/2024)

Michigan
(5/8/2024)

Minnesota
(5/8/2024)

Mississippi
(5/8/2024)

Missouri
(5/8/2024)

Montana
(5/8/2024)

Nebraska
(5/8/2024)

Nevada
(5/8/2024)

New Hampshire
(5/8/2024)

New Jersey
(5/8/2024)

New Mexico
(5/8/2024)

New York
(5/8/2024)

North Carolina
(5/8/2024)

North Dakota
(5/8/2024)

Ohio
(5/8/2024)

Oklahoma
(5/8/2024)

Oregon
(5/8/2024)

Pennsylvania
(5/8/2024)

Rhode Island
(5/8/2024)

South Carolina
(5/8/2024)

South Dakota
(5/8/2024)

Tennessee
(5/8/2024)

Texas
(5/8/2024)

Utah
(5/8/2024)

Vermont
(5/8/2024)

Virginia
(5/8/2024)

Washington
(5/8/2024)

West Virginia
(5/8/2024)

Wisconsin
(5/8/2024)

Wyoming
(5/8/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FINANCIAL SERVICES, LLC

BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 07/31/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	DIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	1137783
COWAN, TERESA MARIA KAZMIERSKI	PRESIDENT/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145

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.

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Advisor Monitoring

Firm Stability Insights

Morgan B. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Morgan Bertram Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFA SECURITIES LLC

DIMENSIONAL FUND ADVISORS LP

RESPONSIBLE WEALTH, LLC

FORESIDE FUND SERVICES, LLC

ALPS DISTRIBUTORS, INC.

BLACKROCK EXECUTION SERVICES

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CAL FED INVESTMENTS

ASSOCIATED SECURITIES CORP.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/2018

Series 63

Date: 3/19/1998

SIE

Date: 3/2/2018

Series 7

Date: 3/9/1998

FINRA

Current Firm

FORESIDE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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