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JL

Jane Lee

Some features on this profile are disabled
CRD#: 6826648
JL

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.

Jane Lee was a registered financial professional .

Jane is a previously registered financial professional and started their career in finance in 2017. Jane had worked at 2 firms and has passed the Series 63, SIE and Series 22 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)

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

January 19, 2018 - September 28, 2022

LIGHTPATH CAPITAL, INC

BD
CRD#: 34617
San Jose, CA
Past

October 25, 2017 - November 6, 2017

EMERSON EQUITY LLC

BD
CRD#: 130032
San Jose, 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: 7/26/2017
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 22
Date: 10/25/2017
Direct Participation Programs Representative Examination

Current Firm

LC
LIGHTPATH CAPITAL, INC
LIGHTPATH CAPITAL, INC | STREAMLINE CAPITAL CORPORATION | PROTECTIVE BROKERAGE CORPORATION

CRD#: 34617 / SEC#: , 8-46299

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

Main Address
1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092
Mailing Address
1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092
Phone number
(214) 734-2957
Established
California since 06/02/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 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#
DHILLON, HARINDER SINGHCHAIRMAN OF THE BOARD
RICHARDSON, MARK JAYOWNER6259211
UCCIFERRI, CHARLES SANTINOPRINCIPAL7158252
UCCIFERRI, LOUIE NMNPRESIDENT1156956
UCCIFERRI, LOUIE NMNCCO, FINOP, AML-CO1156956

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

LIGHTPATH CAPITAL, INC

CRD#: 34617

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