David D. 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.
David D Lee was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2013. David had worked at 1 firm and has passed the Series 63, SIE 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
September 30, 2013 - January 30, 2024
PROMETHEAN CAPITAL GROUP LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PROMETHEAN CAPITAL GROUP LLC
CRD#: 44813 / SEC#: , 8-50833
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| O'BRIEN, JAMES FRANCIS JR. | PRESIDENT, GENERAL SECURITIES PRINCIPAL, INVESMENT BANKING PRINCIPAL | 1962008 |
| KIM, EUGENE KURT | GENERAL SECURITIES PRINCIPAL,CHIEF COMPLIANCE OFFICER AND CFO, COMPLIANCE OFFICER, INVESTMENT BANKING PRINCIPAL | 3173613 |
| AHLFELD, JAMES B | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL OPERATIONS OFFICER | 4955796 |
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.
