Lee C. Andreatta
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 C Andreatta, who also goes by Lee Christpoher Andreatta, Lee Andreatta, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1998. Lee had worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2021 - January 27, 2022
TD AMERITRADE, INC.
November 13, 2017 - January 27, 2022
CHARLES SCHWAB & CO., INC.
July 14, 2004 - August 12, 2004
CHARIOT CAPITAL ADVISORS LLC
January 29, 2003 - November 29, 2004
ACCESS FINANCIAL GROUP, INC.
November 14, 2002 - January 15, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
February 6, 2002 - October 15, 2002
PRESTWICK SECURITIES, INC.
October 14, 1998 - September 29, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 4/24/2024
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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