Lee Thurman
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 Thurman was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2000. Lee had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2018 - January 29, 2019
FIRST STATE FINANCIAL MANAGEMENT, INC.
March 23, 2018 - January 29, 2019
FIRST STATE FINANCIAL MANAGEMENT, INC.
September 25, 2017 - February 27, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 2017 - February 27, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 3, 2013 - November 17, 2017
MAPA INVESTMENTS, LLC
April 28, 2003 - February 9, 2005
PRUCO SECURITIES, LLC.
February 16, 2000 - January 16, 2002
PRUCO 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
FIRST STATE FINANCIAL MANAGEMENT, INC.
CRD#: 16590 / SEC#: , 8-34201
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST STATE BANK SHARES | CORPORATE OWNER | |
| EVANS, SUSAN MAE | PRESIDENT, CCO, FINOP | 1477055 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
