Humphrey H. 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.
Humphrey Hung Fai Lee, who also goes by Humphrey Hung Lee, Humphrey Hung-fai Lee, Humphrey Lee, was a registered financial professional .
Humphrey is a previously registered financial professional and started their career in finance in 2009. Humphrey had worked at 2 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, SIE, 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
November 19, 2014 - March 3, 2022
DOWLING & PARTNERS SECURITIES LLC
July 29, 2009 - November 12, 2014
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationCurrent Firm
DOWLING & PARTNERS SECURITIES LLC
CRD#: 24746 / SEC#: , 8-35658
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOWLING CORPORATION | 100% OWNER | |
| BYRNE, THOMAS ARTHUR | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE | 1334509 |
| DOWLING, VERONICA ALVAREZ | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | 5166888 |
| HANLEY, JOSEPH PATRICK JR | HEAD TRADER | 3060247 |
| HILBIE, KRISTA ANN | CHIEF COMPLIANCE OFFICER | 1712680 |
| LENT, BRENNA SULLIVAN | MEMBER | 2399560 |
| NIXON, JON ALAN | FINOP | 4710715 |
Red Flags
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