Lee R. Christian
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.
Lee Robert Christian was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1973. Lee had worked at 10 firms and has passed the Series 63, Series 000, Series 1, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1989 - November 21, 1989
WACHOVIA SECURITIES, INC.
February 9, 1987 - December 9, 1987
MORGAN STANLEY DW INC.
January 21, 1986 - January 2, 1987
FIRST AFFILIATED SECURITIES, INC.
October 16, 1984 - January 31, 1985
THE ROBINSON-HUMPHREY COMPANY, LLC
January 4, 1984 - November 5, 1984
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1983 - January 17, 1984
MONCOR SECURITIES INC.
September 29, 1982 - November 3, 1982
E. F. HUTTON & COMPANY INC
February 19, 1980 - June 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 1979 - February 11, 1980
MORGAN STANLEY DW INC.
September 26, 1978 - October 24, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 11, 1973 - April 16, 1985
E. F. HUTTON & COMPANY INC
April 11, 1973 - January 21, 1986
QUINN & CO., 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
Series 000
Date: 4/11/1973
General Securities Principal ExaminationSeries 1
Date: 4/11/1973
Registered Representative ExaminationCurrent Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 1 |
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.
