Christopher Lee
Professional summary
Christopher Lee, who also goes by Christopher R Lee, is a registered financial professional currently at REGIONS SECURITIES LLC located in Atlanta, Georgia.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2013. Christopher has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2019 - Present
REGIONS SECURITIES LLC
Office #1: 1180 W Peachtree Street Nw, Atlanta, GA 30309May 22, 2013 - January 25, 2019
BARCLAYS CAPITAL 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
(4/12/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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