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LS

Lee D. Scott

BROADRIDGE BUSINESS PROCESS OUTSOURCING
NEW YORK, NY 10158
Some features on this profile are disabled
CRD#: 4538417
LS

Professional summary

Lee David Scott is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in New York, New York and ICE BONDS SECURITIES CORPORATION located in New York, New York.

Lee is registered as a RR (Registered Representative) and started their career in finance in 2002. Lee has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lee David Scott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 19, 2021 - Present

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

Office #1: 605 3rd Ave, New York, NY 10158
BD
CRD#: 114212
NEW YORK, NY
Current

April 21, 2026 - Present

ICE BONDS SECURITIES CORPORATION

Office #1: 1345 Avenue Of The Americas 8th Floor, New York, NY 10105
BD
CRD#: 123635
NEW YORK, NY
Past

February 27, 2019 - September 9, 2021

EXECUTION ACCESS, LLC

BD
CRD#: 148423
NEW YORK, NY
Past

March 8, 2006 - September 13, 2018

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

September 13, 2002 - April 26, 2005

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(4/21/2026)
RR
Louisiana
(4/21/2026)
RR
New York
(11/19/2021)
RR
Ohio
(4/21/2026)
RR
Virginia
(4/21/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/25/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA

Current Firm

IB
ICE BONDS SECURITIES CORPORATION
CREDITEX SECURITIES CORPORATION | ICE TMC | ICE BONDS SECURITIES CORPORATION | ICE BONDPOINT | CREDITTRADE SECURITIES CORPORATION

CRD#: 123635 / SEC#: , 8-65601

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1345 Avenue Of The Americas 8th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 7th Floor, New York, NY 10105
Phone number
(646) 237-4328
Established
Delaware since 04/18/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CREDITTRADE INC.SHAREHOLDER
BORSTELMANN, PETER LPRESIDENT/DIRECTOR4825965
EILEN, JEFFREY PHILIPCHIEF COMPLIANCE OFFICER6149705
FICARRA, THOMAS JOSEPHDIRECTOR5502295
LANSING, RYAN WILLIAMDIRECTOR5408916
MCKISSICK, JOHN JOSEPHPRINCIPAL OPERATIONS OFFICER4939416
THOMASSON, SEAN JOSEPHFINANCIAL PRINCIPAL5124423

Disclosures

Regulatory Event1

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.

Company Information

ICE BONDS SECURITIES CORPORATION

CRD#: 123635New York, NY 10158

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