Thomas C. 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.
Thomas Christian Lee was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 000, Series 1, Series 12, Series 4 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
March 12, 2007 - December 8, 2011
PURPLE WEALTH, LLC
February 19, 1992 - December 10, 2012
LPL FINANCIAL LLC
April 30, 1990 - December 10, 2012
LPL FINANCIAL LLC
June 4, 1969 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
May 19, 1969 - May 25, 1990
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 000
Date: 10/11/1966
General Securities Principal ExaminationSeries 1
Date: 10/11/1966
Registered Representative ExaminationSeries 12
Date: 5/16/1980
NYSE Branch Manager ExaminationSeries 40
Date: 10/4/1975
Registered Principal ExaminationCurrent Firm
PURPLE WEALTH, LLC
CRD#: 119253 / SEC#:
Contact information
Red Flags
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