Richard Y. 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.
Richard Y Lee, who also goes by Richard Y. Lee, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 6 firms and has passed the Series 63 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
May 16, 2012 - May 31, 2012
ROCKWELL GLOBAL CAPITAL LLC
January 13, 2012 - May 11, 2012
BROOKSTONE SECURITIES, INC.
November 2, 2011 - February 1, 2012
ROCKWELL GLOBAL CAPITAL LLC
August 19, 2010 - April 1, 2011
COLUMBUS ADVISORY GROUP, LTD.
December 21, 2009 - May 18, 2010
ECHOTRADE LLC
August 23, 2007 - December 19, 2007
ECHOTRADE LLC
March 27, 2006 - July 18, 2006
MAX INTERNATIONAL BROKER/DEALER CORP.
April 28, 2003 - May 27, 2004
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
