Charles 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.
Charles Lee, who also goes by Changcheng Lee, Charles Cc Lee, Charles Chang Cheng Lee, Charles Chang-cheng Lee, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 3 firms and has passed the Series 63, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2010 - December 3, 2013
UNIVEST SECURITIES, LLC
November 28, 2005 - March 3, 2008
BOND ONE, LLC
June 9, 2000 - January 12, 2004
MARATHON CAPITAL MARKETS, LLC
April 28, 1999 - December 4, 1999
UNIVEST SECURITIES, 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
Current Firm
UNIVEST SECURITIES, LLC
CRD#: 36105 / SEC#: , 8-47006
Contact information
FINRA licenses (26 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
