Lee W. Curley
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 Wayne Curley was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1970. Lee had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2005 - April 7, 2015
KATHWOOD ADVISORS LLC
April 19, 2004 - December 31, 2004
KATHWOOD ADVISORS LLC
October 20, 2003 - April 30, 2004
CITIGROUP GLOBAL MARKETS INC.
January 2, 2002 - April 30, 2004
CITIGROUP GLOBAL MARKETS INC.
August 10, 1976 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
July 28, 1970 - September 19, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 7/24/1970
Registered Representative ExaminationSeries 40
Date: 8/23/1976
Registered Principal ExaminationCurrent Firm
KATHWOOD ADVISORS LLC
CRD#: 131078 / SEC#:
Contact information
Red Flags
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