Michael E. 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.
Michael Earl Lee was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2011 - February 1, 2012
SIGNATOR FINANCIAL SERVICES, INC.
January 14, 2011 - February 1, 2012
SIGNATOR FINANCIAL SERVICES, INC.
January 5, 2000 - February 9, 2009
THOMAS WEISEL PARTNERS LLC
December 13, 1999 - February 9, 2009
THOMAS WEISEL PARTNERS LLC
July 19, 1996 - January 7, 2000
ABN AMRO SECURITIES LLC
July 31, 1984 - April 26, 1996
MORGAN STANLEY & CO. LLC
November 24, 1983 - August 2, 1984
CITIGROUP GLOBAL MARKETS INC.
June 30, 1978 - March 20, 1980
CITIGROUP GLOBAL MARKETS INC.
February 12, 1970 - June 7, 1978
GOLDMAN SACHS & CO. LLC
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 1
Date: 1/26/1970
Registered Representative ExaminationSeries 000
Date: 1/1/1970
General Securities Principal ExaminationCurrent Firm
SIGNATOR FINANCIAL SERVICES, INC.
CRD#: 19061 / SEC#: 801-66750, 8-37112
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ABERIZK, EMIL JOSEPH JR | DIRECTOR | 1049525 |
| ARMSTRONG, ABIGAIL MARIE | SECRETARY/CLERK & COUNSEL | 1239945 |
| CLARK, JEFFREY STEPHEN | VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL | 4974902 |
| HEAPPS, BRIAN BASIL | DIRECTOR | 1666475 |
| HORACK, THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER | 861315 |
| K VD HAGEN, HALINA | DIRECTOR | 6582303 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | DIRECTOR | 4364402 |
| SUMINSKI, JOHN WILLIAM | DIRECTOR | 6009337 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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