Patrick Y. 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.
Patrick Yam Lee was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1980. Patrick had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1987 - September 19, 2013
MOMENTIX CAPITAL, INC.
February 1, 1984 - September 28, 1987
GOLDEN HARVEST SECURITIES INC.
June 30, 1982 - January 9, 1984
LEHMAN BROTHERS INC.
December 22, 1980 - September 2, 1982
MOORE & SCHLEY, CAMERON & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MOMENTIX CAPITAL, INC.
CRD#: 20130 / SEC#: , 8-38086
Contact information
Disclosures
| Regulatory Event | 5 |
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.
