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EL

Elaine C. Lee

CCA CAPITAL LLC
Boston, MA 02108
Some features on this profile are disabled
CRD#: 5193920
EL

Professional summary

Elaine Cassandra Lee, who also goes by Elaine C Lee, is a registered financial professional currently at CCA CAPITAL LLC located in Boston, Massachusetts.

Elaine is registered as a RR (Registered Representative) and started their career in finance in 2006. Elaine has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elaine C Lee

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) - BD

Click below to view Elaine Cassandra Lee'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®
None

Experience

Current

November 2, 2023 - Present

CCA CAPITAL LLC

Office #1: One Boston Place 201 Washington St., Suite 3825, Boston, MA, 02108
BD
CRD#: 154837
Boston, MA
Past

November 22, 2006 - October 1, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY

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
(11/17/2023)
RR
California
(11/17/2023)
RR
Connecticut
(11/3/2023)
RR
Delaware
(11/17/2023)
RR
Georgia
(11/17/2023)
RR
Illinois
(11/17/2023)
RR
Iowa
(11/17/2023)
RR
Kansas
(11/17/2023)
RR
Maryland
(11/2/2023)
RR
Massachusetts
(11/17/2023)
RR
Minnesota
(11/17/2023)
RR
Missouri
(11/17/2023)
RR
Nebraska
(11/17/2023)
RR
Nevada
(11/17/2023)
RR
New Jersey
(11/17/2023)
RR
New York
(11/17/2023)
RR
North Carolina
(11/17/2023)
RR
Ohio
(11/17/2023)
RR
Oklahoma
(11/17/2023)
RR
Pennsylvania
(11/17/2023)
RR
South Dakota
(11/17/2023)
RR
Texas
(11/17/2023)
RR
Virginia
(11/17/2023)
RR
Wisconsin
(11/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/3/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/17/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CCA CAPITAL LLC
CCA CAPITAL LLC | CPGLB CAPITAL LLC

CRD#: 154837 / SEC#: , 8-68676

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Boston Place 201 Washington St., Suite 3825, Boston, MA, 02108
Mailing Address
One Boston Place 201 Washington St., Suite 3825, Boston, MA, 02108
Phone number
(617) 570-2300
Established
Delaware since 06/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CCA GROUP, LLCSOLE MEMBER
PASQUALINI, MARTIN JPRINCIPAL/DIRECTOR / VP
STAHLE, JAMES RICHARDCEO / CCO / DIR./PRINCIPAL
WILSON, ROBERT (NMN)CHIEF FINANCIAL OFFICER/FINOP6465354

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

CCA CAPITAL LLC

CRD#: 154837Boston, MA 02108

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