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EL

Erik J. Lee

THE NEW PENFACS
Southborough, MA 01772
Some features on this profile are disabled
CRD#: 4611822
EL

Professional summary

Erik J. Lee is a registered financial professional currently at THE NEW PENFACS INC. located in Southborough, Massachusetts.

Erik is registered as a RR (Registered Representative) and started their career in finance in 2016. Erik has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

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 Erik J. Lee's CRS (Customer Relationship Summary).
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

March 18, 2016 - Present

THE NEW PENFACS INC.

Office #1: 337 Turnpike Road Suite 203, Southborough, MA 01772
BD
CRD#: 145584
Southborough, MA

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
Massachusetts
(7/21/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TN
THE NEW PENFACS INC.
THE NEW PENFACS INC.

CRD#: 145584 / SEC#: , 8-67738

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
337 Turnpike Road Suite 203, Southborough, MA 01772
Mailing Address
337 Turnpike Road Suite 203, Southborough, MA 01772
Phone number
(603) 893-3563
Established
Massachusetts since 01/17/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DEGREGORIO, ERIK RONALDCCO2375724
DEGREGORIO, ERIK RONALDPRESIDENT, COO, CEO, EXEC. REP., AML SUPER, CHAIRMAN2375724
DEGREGORIO, DANIEL PETERFINOP5550134

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

THE NEW PENFACS INC.

CRD#: 145584Southborough, MA 01772

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