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PL

Peter D. Lee

HALIFAX AMERICA LLC
Sherman Oaks, CA 91411
Some features on this profile are disabled
CRD#: 6505034
PL

Professional summary

Peter D Lee is a registered financial professional currently at HALIFAX AMERICA LLC located in Sherman Oaks, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2015. Peter has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 34 and Series 3 exams.

top-8-questions

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) - BD

Click below to view Peter D Lee's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 27, 2015 - Present

HALIFAX AMERICA LLC

Office #1: 5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
BD
CRD#: 172567
Sherman Oaks, CA

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: 5/19/2016
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: 10/26/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 34
Date: 12/29/2012
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 8/8/2009
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HALIFAX AMERICA LLC
HALIFAX AMERICA LLC

CRD#: 172567 / SEC#: , 8-69511

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
Mailing Address
5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
Phone number
(888) 240-7099
Established
Delaware since 05/29/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BRADY, DEVIN DANIELCEO,CCO,AMLCO,FINOP3041139
VARTANIAN, JOSEPH NUBAREXECUTIVE OFFICER / OPERATION AND COMPLIANCE MANAGER4262139

Disclosures

Regulatory Event2

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

HALIFAX AMERICA LLC

CRD#: 172567Sherman Oaks, CA 91411

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