Dennis Peter Lee
Professional Summary
Dennis Peter Lee is a registered financial advisor currently at WILMINGTON CAPITAL SECURITIES, LLC located in Garden City, New York. Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Dennis has worked at 2 firms and has passed the Series 66, SIE, Series 52, Series 7, Series 14, Series 4, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
Contact Information
Main Address
666 Old Country Road Suite 505, Garden City, NY 11530Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530Phone Number
(516) 750-6200Established
New York since 11/18/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
6SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
FINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILMINGTON CAPITAL GROUP, INC. | PARENT COMPANY | — |
| COLUMBO, JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 823524 |
| DORUSHKIN, RONALD BRETT | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 2245185 |
| LEE, DENNIS PETER | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 6008539 |
| MIKES, JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 2458544 |
| VITTOR, GREG TODD | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1864219 |
Regulatory Assets Under Management
Total Number of Accounts
258AUM (Assets Under Management)
$277,120,242Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
State Registrations and Notice Filings
(2/15/2019)
(2/4/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Dennis Peter Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Peter Lee's CRS (Customer Relationship Summary).
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