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ML

Michael F. Lee

HATTERAS CAPITAL DISTRIBUTORS
Raleigh, NC 27615
Some features on this profile are disabled
CRD#: 5678514
ML

Professional summary

Michael Francis Lee JR., who also goes by Michael Francis Lee, is a registered financial professional currently at HATTERAS CAPITAL DISTRIBUTORS, LLC located in Raleigh, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Francis 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) - BD

Click below to view Michael Francis Lee JR.'s CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 5, 2023 - Present

HATTERAS CAPITAL DISTRIBUTORS, LLC

Office #1: 8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615
BD
CRD#: 143365
Raleigh, NC
Past

March 28, 2019 - December 20, 2022

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

January 5, 2018 - March 5, 2019

HATTERAS INVESTMENT PARTNERS, LP

RIA
CRD#: 170628
RALEIGH, NC
Past

July 28, 2015 - December 31, 2017

HATTERAS INVESTMENT PARTNERS, LP

RIA
CRD#: 170628
RALEIGH, NC
Past

July 24, 2015 - March 5, 2019

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

October 22, 2014 - June 23, 2015

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

August 6, 2014 - August 12, 2014

HATTERAS INVESTMENT PARTNERS, LP

RIA
CRD#: 170628
RALEIGH, NC
Past

January 13, 2010 - July 31, 2014

HATTERAS INVESTMENT PARTNERS LLC

RIA
CRD#: 128703
RALEIGH, NC
Past

October 29, 2009 - August 12, 2014

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC

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
California
(1/5/2023)
RR
Colorado
(1/5/2023)
RR
Connecticut
(1/5/2023)
RR
Delaware
(1/5/2023)
RR
District of Columbia
(1/5/2023)
RR
Georgia
(1/5/2023)
RR
Illinois
(1/5/2023)
RR
Indiana
(1/5/2023)
RR
Iowa
(1/5/2023)
RR
Louisiana
(1/5/2023)
RR
Maryland
(1/5/2023)
RR
Massachusetts
(1/5/2023)
RR
Michigan
(1/5/2023)
RR
Minnesota
(1/5/2023)
RR
Montana
(1/5/2023)
RR
Nebraska
(1/5/2023)
RR
Nevada
(1/5/2023)
RR
New Hampshire
(1/5/2023)
RR
New Jersey
(1/5/2023)
RR
New York
(1/5/2023)
RR
North Carolina
(1/5/2023)
RR
Ohio
(1/5/2023)
RR
Oregon
(1/5/2023)
RR
Pennsylvania
(1/5/2023)
RR
Rhode Island
(1/5/2023)
RR
Texas
(1/5/2023)
RR
Utah
(1/5/2023)
RR
Vermont
(1/5/2023)
RR
Virginia
(1/5/2023)
RR
Washington
(1/5/2023)
RR
Wyoming
(1/5/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/25/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HC
HATTERAS CAPITAL DISTRIBUTORS, LLC
HATTERAS CAPITAL | TAILWIND CAPITAL DISTRIBUTORS, LLC | HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365 / SEC#: , 8-67555

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

Main Address
8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615
Mailing Address
8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615
Phone number
(919) 846-2324
Established
North Carolina since 01/04/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
HATTERAS INVESTMENT PARTNERS, LPOWNER170628
MASTERS, KEVIN CRAWFORDFINOP, POO, PFO2730013
PERKINS, DAVID BRIENFOUNDER/CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER1824251

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

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365Raleigh, NC 27615

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