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Lee M. Fauteux

Some features on this profile are disabled
CRD#: 6134308
LF

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 Michael Fauteux was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 2012. Lee had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 1, 2021 - June 15, 2022

ACERVUS SECURITIES, INC.

BD
CRD#: 298058
NEW YORK, NY
Past

June 18, 2018 - June 15, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SALT LAKE CITY, UT
Past

September 16, 2014 - August 17, 2016

SCOTTRADE, INC.

BD
CRD#: 8206
WASHINGTON, DC
Past

May 23, 2013 - June 13, 2014

SCOTTRADE, INC.

BD
CRD#: 8206
FREDERICK, MD
Past

November 12, 2012 - February 26, 2013

DMG SECURITIES, INC.

BD
CRD#: 15480
GREAT FALLS, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2012
General Securities Representative Examination

Current Firm

AS
ACERVUS SECURITIES, INC.
ACERVUS SECURITIES, INC.

CRD#: 298058 / SEC#: , 8-70206

BD
Terminated by SEC on 10/11/2024
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/14/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADDEPAR, INC.OWNER
HARPEL, JEFFREY KEITHFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1367784
JACOBSEN, BRYAN KPRESIDENT AND CHIEF COMPLIANCE OFFICER3055957

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.

Company Information

ACERVUS SECURITIES, INC.

CRD#: 298058

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