Gary W. Lees
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.
Gary William Lees was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1973. Gary had worked at 5 firms and has passed the Series 63, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 1989 - December 31, 2019
PODESTA & CO.
October 8, 1986 - May 31, 1989
THE CHICAGO CORPORATION
October 10, 1974 - October 14, 1986
FINANCIAL SQUARE PARTNERS
February 22, 1974 - November 23, 1974
BACHE & CO INCORPORATED
April 3, 1973 - March 19, 1974
DUPONT WALSTON, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 11/12/1981
Interest Rate Options ExaminationPC
Date: 6/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/30/1973
Registered Representative ExaminationCurrent Firm
PODESTA & CO.
CRD#: 13140 / SEC#: 801-60698, 8-28860
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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