Stephanie W. 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.
Stephanie Wanho Lee was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2001. Stephanie had worked at 4 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2017 - April 25, 2018
CDX ADVISORS
September 4, 2012 - May 7, 2015
HSBC SECURITIES (USA) INC.
September 4, 2012 - June 22, 2016
HSBC SECURITIES (USA) INC.
July 5, 2011 - August 17, 2012
HSBC SECURITIES (USA) INC.
July 5, 2011 - August 17, 2012
HSBC SECURITIES (USA) INC.
September 19, 2008 - June 21, 2011
NEUBERGER BERMAN BD LLC
September 19, 2008 - June 21, 2011
NEUBERGER BERMAN BD LLC
July 29, 2008 - September 24, 2008
LEHMAN BROTHERS INC.
November 12, 2001 - September 24, 2008
LEHMAN BROTHERS 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
CDX ADVISORS
CRD#: 171500 / SEC#: , 8-69465
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
