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Victor Lee

QUANTLAB BROKERAGE
HOUSTON, TX
·CRD# 6981417·8 years experience

Professional Summary

Victor Lee is a registered financial advisor currently at QUANTLAB BROKERAGE, LLC located in Houston, Texas. Victor is registered as a RR (Registered Representative) and started their career in finance in 2018. Victor has worked at 2 firms and has passed the SIE, Series 99 and Series 27 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

8 years in the financial services industry

Current & Past Employments

QUANTLAB BROKERAGE, LLC·CRD# 299468
BD
3 Greenway Plaza Suite 200, Houston, TX 77046
January 7, 2020 - Present
QUANTLAB SECURITIES LP·CRD# 119955
BD
Houston, TX
October 12, 2018 - January 2, 2020

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Current Firm

QB
QUANTLAB BROKERAGE, LLC

QUANTLAB BROKERAGE, LLC

CRD#: 299468 / SEC#: 8-70274
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

3 Greenway Plaza Suite 200, Houston, TX 77046

Mailing Address

3 Greenway Plaza Suite 200, Houston, TX 77046

Phone Number

(713) 400-5440

Established

Delaware since 09/26/2018

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (4 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
QUANTLAB BROKERAGE HOLDINGS, LLCSOLE MEMBER—
LEE, VICTORCFO/FINOP/COO6981417
ROBERTSON, JAMES SEEARCHIEF COMPLIANCE OFFICER, CEO, AMLCO, DESIGNATED PRINCIPAL6165573

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 99 — Operations Professional Examination

Passed Aug 2018About the Series 99 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 2022About the Series 27 exam
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SRO Registrations
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SRO Registrations
Cboe EDGA Exchange, Inc.
SRO Registrations
Cboe EDGX Exchange, Inc.
SRO Registrations
FINRA
SRO Registrations
Investors' Exchange LLC
SRO Registrations
MEMX LLC
SRO Registrations
MIAX PEARL, LLC
SRO Registrations
NYSE American LLC
SRO Registrations
NYSE Arca, Inc.
SRO Registrations
NYSE National, Inc.
SRO Registrations
NYSE Texas, Inc.
SRO Registrations
Nasdaq PHLX LLC
SRO Registrations
Nasdaq Stock Market
SRO Registrations
Nasdaq Texas, LLC
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Victor Lee's CRS (Customer Relationship Summary).

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