Cindy Lee
Professional summary
Cindy Lee is a registered financial professional currently at VIRTU AMERICAS LLC located in New York, New York.
Cindy is registered as a RR (Registered Representative) and started their career in finance in 2010. Cindy has worked at 5 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cindy Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2018 - Present
VIRTU AMERICAS LLC
Office #1: 1633 Broadway 41st Fl, New York, NY 10019February 6, 2012 - April 9, 2020
VIRTU FINANCIAL CAPITAL MARKETS LLC
February 6, 2012 - April 9, 2020
VIRTU FINANCIAL BD LLC
June 3, 2010 - November 21, 2011
NATWEST MARKETS SECURITIES INC.
April 6, 2010 - May 27, 2010
PURSUIT PARTNERS LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional Examination24X National Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
Red Flags
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