Marc J. Lee
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.
Marc J Lee was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2012. Marc had worked at 3 firms and has passed the Series 63, SIE, Series 7TO 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
November 18, 2021 - July 6, 2022
SECFI SECURITIES, LLC
June 28, 2013 - September 30, 2015
EQUITABLE ADVISORS, LLC
May 1, 2012 - March 15, 2013
GROUP ONE TRADING LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 10/25/2021
General Securities Representative ExaminationCurrent Firm
SECFI SECURITIES, LLC
CRD#: 302112 / SEC#: , 8-70457
Contact information
FINRA licenses (38 States and Territories)
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.
