Shawn C. Lese
Professional summary
Shawn Christian Lese, who also goes by Shawn Lese, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 2002. Shawn has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shawn Christian Lese's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017September 15, 2015 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
June 2, 2014 - May 15, 2015
GFM SECURITIES LLC
June 13, 2005 - June 26, 2012
MORGAN STANLEY & CO. LLC
February 25, 2003 - April 28, 2005
LAZARD FRERES & CO. LLC
August 30, 2002 - November 22, 2002
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
