Morgan B. 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.
Morgan Bertram Lee, CIMA®, who also goes by Morgan Bertram Lee, Morgan Lee, was a registered financial professional .
Morgan is a previously registered financial professional and started their career in finance in 1998. Morgan had worked at 11 firms and has passed the Series 65, Series 63, 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
May 8, 2024 - March 6, 2026
FORESIDE FINANCIAL SERVICES, LLC
September 19, 2019 - April 2, 2024
DFA SECURITIES LLC
September 18, 2019 - April 2, 2024
DIMENSIONAL FUND ADVISORS LP
July 27, 2018 - August 23, 2019
RESPONSIBLE WEALTH, LLC
December 16, 2014 - March 2, 2018
FORESIDE FUND SERVICES, LLC
April 20, 2006 - December 31, 2014
ALPS DISTRIBUTORS, INC.
May 16, 2000 - April 24, 2006
BLACKROCK EXECUTION SERVICES
November 24, 1999 - May 10, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 9, 1999 - October 8, 1999
CAL FED INVESTMENTS
June 12, 1998 - June 7, 1999
ASSOCIATED SECURITIES CORP.
March 10, 1998 - July 14, 1998
FSC SECURITIES CORPORATION
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
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
