Lee A. Ray
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 Albert Ray was a registered financial advisor .
Lee is a previously registered financial advisor and started their career in finance in 2008. Lee had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2008 - September 25, 2008
BROKERBANK SECURITIES, 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
Current Firm
BROKERBANK SECURITIES, INC.
CRD#: 130116 / SEC#: , 8-66310
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WRIGHT, PHILIP PAUL | CEO AND CHIEF COMPLIANCE OFFICER | 2453688 |
| COMMUNITYLEADER, INC. | C CORPORATION |
Disclosures
| Regulatory Event | 5 |
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.
