Lee A. Copeland
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 Ayer Copeland, who also goes by Lee Copeland, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2003. Lee had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7TO, Series 3 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
March 12, 2021 - March 17, 2022
SG3 MANAGEMENT, LLC
September 9, 2020 - February 19, 2021
ELEVATION, LLC
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
August 28, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
November 5, 2003 - July 28, 2005
CITIGROUP GLOBAL MARKETS 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 7TO
Date: 8/31/2020
General Securities Representative ExaminationCurrent Firm
SG3 MANAGEMENT, LLC
CRD#: 285449 / SEC#: 801-121787
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 18,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2022 | ||
| 03/18/2022 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 6/17/2021 |
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.
