DL
Dennis P. Lee
WILMINGTON CAPITAL SECURITIES
GARDEN CITY, NY 11530
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CRD#: 6008539
DL
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
TRIDENT PARTNERS LTD., INVESTMENT-RELATED, 181 CROSSWAYS PARK DRIVE, WOODBURY, NY 11797, BROKER-DEALER, MUNICIPAL SECURITIES PRINCIPAL, 07/2020, APPROXIMATELY 6 HOURS PER MONTH AND LESS THAN 1 HOUR PER DAY DURING MARKET HOURS, SUPERVISOR OF FIRM'S MUNICIPAL BOND TRADING ACTIVITY.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 15, 2019 - Present
WILMINGTON CAPITAL SECURITIES, LLC
Office #1: 666 Old Country Road Suite 505, Garden City, NY 11530Office #2: 666 Old Country Road Suite 505, Garden City, NY 11530RIA
BD
CRD#: 133839
GARDEN CITY, NY
Current
December 4, 2017 - Present
WILMINGTON CAPITAL SECURITIES, LLC
Office #1: 666 Old Country Road Suite 505, Garden City, NY 11530Office #2: 666 Old Country Road Suite 505, Garden City, NY 11530RIA
BD
CRD#: 133839
GARDEN CITY, NY
Current
January 24, 2023 - Present
TRIDENT PARTNERS LTD.
Office #1: 181 Crossways Park Drive, Woodbury, NY 11797Office #2: 181 Crossways Park Drive, Woodbury, NY 11797BD
CRD#: 41258
Woodbury, NY
Past
July 21, 2020 - October 7, 2022
TRIDENT PARTNERS LTD.
BD
CRD#: 41258
WOODBURY, NY
Past
July 6, 2012 - December 26, 2017
TRIDENT PARTNERS LTD.
BD
CRD#: 41258
WOODBURY, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WILMINGTON CAPITAL SECURITIES, LLC
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
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
New Jersey(2/15/2019)
RR
New York(2/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WILMINGTON CAPITAL SECURITIES, LLC
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
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
666 Old Country Road Suite 505, Garden City, NY 11530
Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530
Phone number
(516) 750-6200
Established
New York since 11/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
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 | 279 |
| AUM (Assets Under Management) | $ 258,250,437 |
Disclosures
| Regulatory Event | 2 |
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.
