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VL

Victor Lee

QUANTLAB BROKERAGE
Houston, TX 77046
Some features on this profile are disabled
CRD#: 6981417
VL

Professional summary

Victor Lee is a registered financial professional 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.

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 Victor Lee's 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

January 7, 2020 - Present

QUANTLAB BROKERAGE, LLC

Office #1: 3 Greenway Plaza Suite 200, Houston, TX 77046
BD
CRD#: 299468
Houston, TX
Past

October 12, 2018 - January 2, 2020

QUANTLAB SECURITIES LP

BD
CRD#: 119955
HOUSTON, TX

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 8/29/2018
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/29/2022
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

QB
QUANTLAB BROKERAGE, LLC
QUANTLAB BROKERAGE, LLC

CRD#: 299468 / SEC#: , 8-70274

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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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
# of Employees

FINRA licenses (4 States and Territories)

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

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

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

QUANTLAB BROKERAGE, LLC

CRD#: 299468Houston, TX 77046

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