Peter R. 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.
Peter Rankin Lee was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1978. Peter had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 51, Series 27, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2022 - December 31, 2022
GRADIENT ADVISORS, LLC
May 11, 2018 - December 31, 2019
COLORADO FINANCIAL SERVICE CORPORATION
March 11, 2013 - February 22, 2018
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
June 19, 2012 - February 20, 2013
EQUITABLE ADVISORS, LLC
May 9, 2012 - February 20, 2013
EQUITABLE ADVISORS, LLC
August 24, 2010 - May 4, 2012
COLORADO FINANCIAL SERVICE CORPORATION
November 28, 1990 - November 2, 2010
AMERICAN CLASSIC SECURITIES, INC.
May 10, 1989 - November 23, 1990
ADDISON FINANCIAL SERVICES, INC.
October 2, 1985 - May 13, 1989
AMOS-LEE SECURITIES, INC.
November 2, 1983 - January 16, 1985
E. F. HUTTON & COMPANY INC
November 15, 1982 - November 3, 1983
MORGAN STANLEY DW INC.
December 18, 1978 - November 24, 1982
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
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 5
Date: 11/13/1981
Interest Rate Options ExaminationCurrent Firm
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
