December M. 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.
December Mechelle Lee, who also goes by December Lee, was a registered financial professional .
December is a previously registered financial professional and started their career in finance in 2007. December had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2011 - June 14, 2012
GROVE POINT INVESTMENTS, LLC
September 10, 2009 - March 24, 2011
SIGNATOR INVESTORS, INC.
February 4, 2008 - October 14, 2008
UBS FINANCIAL SERVICES INC.
November 8, 2007 - February 13, 2008
FIRST CLEARING, LLC
June 5, 2007 - February 13, 2008
WELLS FARGO CLEARING SERVICES, LLC
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
Current Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
