Lee H. Lovejoy
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 Harold Lovejoy was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1965. Lee had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1988 - June 11, 2001
TUCKER ANTHONY INCORPORATED
September 20, 1983 - July 7, 1988
UBS FINANCIAL SERVICES INC.
July 19, 1977 - October 1, 1983
UBS ASSET MANAGEMENT (US) INC.
November 15, 1965 - July 20, 1977
PAINE, WEBBER, JACKSON & CURTIS 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 000
Date: 11/12/1965
General Securities Principal ExaminationSeries 1
Date: 11/12/1965
Registered Representative ExaminationSeries 40
Date: 8/4/1977
Registered Principal ExaminationSeries 12
Date: 1/23/1973
NYSE Branch Manager ExaminationCurrent Firm
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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