Hsiao-wen 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.
Hsiao-wen Lee, who also goes by Shawin Lee, Shawin Lee, was a registered financial professional .
Hsiao-wen is a previously registered financial professional and started their career in finance in 2004. Hsiao-wen had worked at 3 firms and has passed the Series 66, SIE 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
July 29, 2010 - April 14, 2015
ESSEX NATIONAL SECURITIES, LLC
March 17, 2006 - June 8, 2010
ESSEX NATIONAL SECURITIES, LLC
March 17, 2006 - April 14, 2015
ESSEX NATIONAL SECURITIES, LLC
November 23, 2005 - February 9, 2006
HSBC SECURITIES (USA) INC.
September 15, 2004 - October 10, 2005
TD AMERITRADE, INC.
July 2, 2004 - October 10, 2005
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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