Thomas M. Lee
Professional summary
Thomas Maurice Lee, who also goes by Thomas Maurice Lee, is a registered financial professional currently at QUATTRO M SECURITIES INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Maurice Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2009 - Present
QUATTRO M SECURITIES INC.
Office #1: 501 Fifth Avenue 15th Floor, New York, NY 10017October 1, 2008 - February 17, 2009
FARINA & ASSOCIATES, INC.
June 9, 2008 - October 2, 2008
JEFFERIES EXECUTION SERVICES, INC.
March 30, 2005 - July 10, 2007
BROWN BROTHERS HARRIMAN & CO.
January 25, 2001 - June 27, 2007
MONACO BROKERAGE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2009)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/17/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 8/28/2001
NYSE Trading Assistant ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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