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Ryan C. Lees

Some features on this profile are disabled
CRD#: 4912040
RL

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.

Ryan Courtney Lees, who also goes by Ryan C Lees, Ryan Lees, Ryan C Less, was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2005. Ryan had worked at 8 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryan C Lees | Ryan Lees | Ryan C Less

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 29, 2014 - June 11, 2015

FIRSTWAVE FINANCIAL

RIA
CRD#: 111044
SATELLITE BEACH, FL
Past

May 20, 2013 - January 24, 2014

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
VIERA, FL
Past

September 21, 2012 - January 24, 2014

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
VIERA, FL
Past

August 4, 2009 - March 2, 2011

OSAIC SERVICES, INC.

BD
CRD#: 133763
SUMMERFIELD, FL
Past

February 4, 2009 - July 24, 2009

OSAIC FS, INC.

RIA
CRD#: 3870
MELBOURNE BEACH, FL
Past

January 2, 2009 - July 24, 2009

OSAIC FS, INC.

BD
CRD#: 3870
MELBOURNE BEACH, FL
Past

May 5, 2008 - November 7, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MELBOURNE, FL
Past

April 30, 2008 - November 7, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MELBOURNE, FL
Past

October 9, 2006 - May 1, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MELBOURNE, FL
Past

October 7, 2006 - May 1, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MELBOURNE, FL
Past

September 22, 2005 - July 10, 2006

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

September 5, 2005 - July 10, 2006

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/4/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/2009
General Securities Principal Examination

Current Firm

FF
FIRSTWAVE FINANCIAL
CPA WEALTH MANAGEMENT SERVICES | FIRSTWAVE FINANCIAL, INC. | FIRSTWAVE FINANCIAL | CPA WEALTH MANAGEMENT SERVICES PA

CRD#: 111044 / SEC#: 801-56525

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Contact information

Main Address
1300 Highway Aia Suite 103, Satellite Beach, FL 32937
Mailing Address
Phone number
(321) 773-7773
Established
Firm type
Fiscal year end
# of Employees
16

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/27/2024)
0

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.

Company Information

FIRSTWAVE FINANCIAL

CRD#: 111044

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