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EL

Edwin Lee

Some features on this profile are disabled
CRD#: 5314695
EL

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.

Edwin Lee, who also goes by Edwin H Lee, was a registered financial professional .

Edwin is a previously registered financial professional and started their career in finance in 2007. Edwin had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Edwin H 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)

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

March 22, 2024 - October 28, 2025

ETC BROKERAGE SERVICES, LLC

BD
CRD#: 145276
DALLAS, TX
Past

October 24, 2022 - February 6, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ALEXANDRIA, VA
Past

September 19, 2022 - February 6, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ALEXANDRIA, VA
Past

November 17, 2020 - June 9, 2021

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

May 12, 2017 - April 22, 2020

GOLDMAN SACHS CUSTODY SOLUTIONS

BD
CRD#: 48015
MCLEAN, VA
Past

September 29, 2014 - April 18, 2017

MOTIF

BD
CRD#: 155731
RANCHO CORDOVA, CA
Past

April 28, 2010 - October 16, 2014

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
WASHINGTON, DC
Past

October 1, 2007 - October 16, 2014

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
WASHINGTON, DC

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: 10/24/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/17/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/29/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/10/2025
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2015
General Securities Principal Examination

Current Firm

EB
ETC BROKERAGE SERVICES, LLC
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: , 8-67719

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

Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240
Mailing Address
1 Equity Way, Westlake, OH 44145
Phone number
(877) 403-0369
Established
Connecticut since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DESICH, JEFFREY ALANVICE PRESIDENT2771522
DESICH, RICHARD ANTHONY JRVICE PRESIDENT2634014
AMACHER, CATHERINE COMBSCEO3168184
KOSINSKI, THOMAS JAMESFINOP6712417
MOORE, JONATHAN KIELPRESIDENT, COO2312492
STRICKLAND, JASON LEECHIEF COMPLIANCE OFFICER5013990
TRUKSHANIN, MIKHAILCFO, PFO7436256

Disclosures

Regulatory Event1

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

ETC BROKERAGE SERVICES, LLC

CRD#: 145276

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