Katherine 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.
Katherine Michelle Lee, who also goes by Katherine M Lee, Katie Lee, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2014. Katherine had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, 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
May 8, 2020 - October 18, 2021
CAPITAL ONE INVESTING, INC.
March 14, 2017 - September 7, 2018
CAPITAL ONE ADVISORS, LLC
November 13, 2015 - September 7, 2018
CAPITAL ONE INVESTING, LLC
September 2, 2014 - October 26, 2015
D.A. DAVIDSON & CO.
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
CAPITAL ONE INVESTING, INC.
CRD#: 285084 / SEC#: 801-111630
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,089 |
| AUM (Assets Under Management) | $ 920,140,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2022 |
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.
