Lee M. Vecchione
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 Michael Vecchione, who also goes by Lee M Vecchione, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2002. Lee had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2011 - September 23, 2013
DEUTSCHE BANK SECURITIES INC.
March 11, 2011 - March 29, 2011
T3 TRADING GROUP, LLC
February 12, 2010 - March 15, 2010
DAWSON JAMES SECURITIES, INC.
August 16, 2007 - February 28, 2008
BROWN BROTHERS HARRIMAN & CO.
June 6, 2006 - June 18, 2007
PRUDENTIAL EQUITY GROUP, LLC
April 18, 2006 - May 15, 2006
WHEATLEY CAPITAL SERIES FUND LLC
September 28, 2004 - December 17, 2004
NATIONAL SECURITIES CORPORATION
July 17, 2002 - October 3, 2002
DOMESTIC SECURITIES, INC.
January 30, 2002 - July 22, 2002
NATIONAL SECURITIES CORPORATION
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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 55
Date: 7/27/2002
Limited Representative-Equity Trader ExamCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
