Richard F. 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.
Richard Frederick Lee was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 5 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2007 - September 26, 2017
STRATEGIS FINANCIAL GROUP, INC
April 1, 1997 - December 31, 2007
RETIREMENT MONEY MANAGEMENT
March 21, 1991 - December 31, 1992
LINCOLN INVESTMENT
May 30, 1974 - July 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 8, 1970 - May 22, 1974
A. G. EDWARDS & SONS, INC.
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: 4/18/1966
Registered Representative ExaminationSeries 40
Date: 11/9/1978
Registered Principal ExaminationCurrent Firm
STRATEGIS FINANCIAL GROUP, INC
CRD#: 104861 / SEC#: 801-36025
Contact information
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 9,526,509 |
Red Flags
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