LB
Lee J. Brashear
GRV SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 4691057
LB
Professional summary
Lee Johnson Brashear is a registered financial professional currently at GRV SECURITIES LLC located in Charlotte, North Carolina.
Lee is registered as a RR (Registered Representative) and started their career in finance in 2003. Lee has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Lee Johnson Brashear's 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®
NoneExperience
Current
January 3, 2014 - Present
GRV SECURITIES LLC
Office #1: 6000 Fairview Road 12th Floor, Charlotte, NC 28210BD
CRD#: 138348
Charlotte, NC
Past
July 26, 2006 - January 10, 2014
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
RESEARCH TRIANGLE PARK, NC
Past
November 17, 2003 - July 14, 2006
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
August 22, 2003 - December 18, 2003
CAROLINA CAPITAL MARKETS, INC.
BD
CRD#: 38156
CHAPEL HILL, NC
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
Alabama(10/9/2015)
RR
Arizona(10/9/2015)
RR
Arkansas(10/9/2015)
RR
California(10/9/2015)
RR
Colorado(10/9/2015)
RR
Connecticut(10/9/2015)
RR
Delaware(10/9/2015)
RR
District of Columbia(10/9/2015)
RR
Florida(10/9/2015)
RR
Georgia(10/9/2015)
RR
Idaho(10/9/2015)
RR
Illinois(10/9/2015)
RR
Indiana(10/9/2015)
RR
Iowa(10/9/2015)
RR
Kansas(10/9/2015)
RR
Kentucky(10/9/2015)
RR
Louisiana(10/9/2015)
RR
Maine(10/9/2015)
RR
Maryland(10/9/2015)
RR
Massachusetts(10/9/2015)
RR
Michigan(10/9/2015)
RR
Minnesota(10/9/2015)
RR
Mississippi(10/9/2015)
RR
Missouri(10/9/2015)
RR
Montana(10/9/2015)
RR
Nebraska(10/9/2015)
RR
Nevada(10/9/2015)
RR
New Hampshire(10/9/2015)
RR
New Jersey(10/9/2015)
RR
New Mexico(10/9/2015)
RR
New York(1/3/2014)
RR
North Carolina(1/3/2014)
RR
North Dakota(10/9/2015)
RR
Ohio(10/9/2015)
RR
Oklahoma(10/9/2015)
RR
Oregon(10/9/2015)
RR
Pennsylvania(10/9/2015)
RR
Rhode Island(10/9/2015)
RR
South Carolina(10/9/2015)
RR
Tennessee(10/9/2015)
RR
Texas(10/9/2015)
RR
Utah(10/9/2015)
RR
Vermont(10/9/2015)
RR
Virginia(10/9/2015)
RR
Washington(10/9/2015)
RR
West Virginia(10/9/2015)
RR
Wisconsin(10/9/2015)
RR
Wyoming(10/9/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC
CRD#: 138348 / SEC#: , 8-67160
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GCM GROSVENOR L.P. | SOLE MEMBER | 108654 |
| DANIEL, DAWNA LYNNE | CHIEF COMPLIANCE OFFICER | 5137048 |
| HENRICH, DIANNA LEA | MANAGING DIRECTOR | 4695780 |
| MONTGOMERY, BURKE JOHNSON | GENERAL COUNSEL | 5067591 |
| SACKS, MICHAEL JAY | MANAGER/CHIEF EXECUTIVE OFFICER | 2077424 |
| SULLIVAN, KATHLEEN PATRICIA | FINANCIAL AND OPERATIONS PRINCIPAL | 5099521 |
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.
