TL
Tony Lee
ALPACA SECURITIES LLC
NEW YORK, NY 10017
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CRD#: 5618563
TL
Professional summary
Tony Lee is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
Tony is registered as a RR (Registered Representative) and started their career in finance in 2009. Tony has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7, Series 55, Series 38, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Tony Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 22, 2022 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017BD
CRD#: 288202
NEW YORK, NY
Past
May 5, 2009 - February 25, 2022
TD SECURITIES (USA) LLC
BD
CRD#: 18476
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/22/2022)
RR
Alaska(3/22/2022)
RR
Arizona(3/22/2022)
RR
Arkansas(3/22/2022)
RR
California(3/22/2022)
RR
Colorado(3/22/2022)
RR
Connecticut(3/22/2022)
RR
Delaware(3/22/2022)
RR
District of Columbia(3/22/2022)
RR
Florida(3/22/2022)
RR
Georgia(3/22/2022)
RR
Hawaii(3/22/2022)
RR
Idaho(3/22/2022)
RR
Illinois(3/22/2022)
RR
Indiana(3/22/2022)
RR
Iowa(3/22/2022)
RR
Kansas(3/22/2022)
RR
Kentucky(3/22/2022)
RR
Louisiana(3/22/2022)
RR
Maine(3/22/2022)
RR
Maryland(3/22/2022)
RR
Massachusetts(3/22/2022)
RR
Michigan(3/22/2022)
RR
Minnesota(3/22/2022)
RR
Mississippi(3/22/2022)
RR
Missouri(3/22/2022)
RR
Montana(3/22/2022)
RR
Nebraska(3/22/2022)
RR
Nevada(3/22/2022)
RR
New Hampshire(3/22/2022)
RR
New Jersey(3/22/2022)
RR
New Mexico(3/22/2022)
RR
New York(3/22/2022)
RR
North Carolina(3/22/2022)
RR
North Dakota(3/22/2022)
RR
Ohio(3/22/2022)
RR
Oklahoma(3/22/2022)
RR
Oregon(3/22/2022)
RR
Pennsylvania(3/22/2022)
RR
Puerto Rico(3/22/2022)
RR
Rhode Island(3/22/2022)
RR
South Carolina(3/22/2022)
RR
South Dakota(3/22/2022)
RR
Tennessee(3/22/2022)
RR
Texas(3/22/2022)
RR
Utah(3/22/2022)
RR
Vermont(3/22/2022)
RR
Virginia(3/22/2022)
RR
Washington(3/22/2022)
RR
West Virginia(3/22/2022)
RR
Wisconsin(3/22/2022)
RR
Wyoming(3/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/4/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 38
Date: 5/4/2009
Canada Module of the General Securities Registered Representative (Without Options Questions)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AS
ALPACA SECURITIES LLC
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
12 E 49th St. Floor 11, New York, NY 10017
Mailing Address
12 E 49th St. Floor 11, New York, NY 10017
Phone number
(941) 231-4093
Established
Delaware since 03/15/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 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.
