Lee G. Tanner
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.
Lee Grayson Tanner was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2011. Lee had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2011 - February 20, 2015
HEDGE HARBOR INC.
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
HEDGE HARBOR INC.
CRD#: 44324 / SEC#: , 8-50629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSET ALLIANCE HOLDING CORP. | SHAREHOLDER | |
| LIPNICK, BRUCE HOWARD | CHAIRMAN, CEO, CCO, DIRECTOR, GSP | 1095377 |
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.
