Hansel C. Lee
Professional summary
Hansel Clarence Cua Lee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hansel is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Hansel had worked at 4 firms, which includes MORGAN STANLEY & CO. LLC, BANC OF AMERICA INVESTMENT SERVICES INC., M.L. STERN & CO. LLC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2008 - October 15, 2008
MORGAN STANLEY & CO. LLC
August 15, 2008 - October 15, 2008
MORGAN STANLEY & CO. LLC
May 14, 2004 - August 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 14, 2004 - August 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 5, 2004 - May 21, 2004
M.L. STERN & CO., LLC.
December 3, 2002 - May 21, 2004
M.L. STERN & CO., LLC.
August 20, 1999 - January 23, 2002
MORGAN STANLEY DW 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
Exams
Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
