Alan Lee
Professional summary
Alan Lee is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.
Alan is registered as a RR (Registered Representative) and started their career in finance in 2000. Alan has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2017 - Present
GREAT POINT CAPITAL LLC
Office #1: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Office #2: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606September 12, 2014 - September 27, 2017
QUASAR TRADING, LLC
November 17, 2011 - August 8, 2014
QUASAR TRADING, LLC
April 10, 2001 - November 9, 2010
GENESIS SECURITIES, LLC
September 13, 2000 - March 15, 2001
ICAPITAL MARKETS 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/9/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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