Michael 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.
Michael Lee, who also goes by Mike Lee, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - September 18, 2014
CURIAN CAPITAL, LLC
April 27, 2012 - September 18, 2014
CURIAN CLEARING, LLC
April 30, 2008 - November 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2007 - November 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CURIAN CAPITAL, LLC
CRD#: 120270 / SEC#: 801-61122
Contact information
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.
