Darren K. 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.
Darren Keong Lee, who also goes by Darren Lee, Keong Lee, was a registered financial professional .
Darren is a previously registered financial professional and started their career in finance in 2000. Darren had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2020 - May 2, 2022
UBS SECURITIES LLC
May 3, 2018 - August 6, 2019
WOLFE RESEARCH SECURITIES
June 2, 2014 - May 4, 2018
HSBC SECURITIES (USA) INC.
October 7, 2010 - May 20, 2014
J.P. MORGAN SECURITIES LLC
May 31, 2007 - November 29, 2007
BANC OF AMERICA SECURITIES LLC
October 10, 2003 - August 30, 2005
FLAGSTAR ADVISORS
January 18, 2001 - August 30, 2005
FLAGSTAR ADVISORS
May 22, 2000 - October 19, 2000
IDS LIFE INSURANCE COMPANY
May 22, 2000 - October 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2000 - March 23, 2000
CIBC WORLD MARKETS CORP.
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: 4/24/2004
Limited Representative-Equity Trader ExamCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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