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DL

Dianne Lee

MOMENT MARKETS
NEW YORK, NY 10014
Some features on this profile are disabled
CRD#: 7282403
DL

Professional summary

Dianne Lee is a registered financial professional currently at MOMENT MARKETS, LLC located in New York, New York.

Dianne is registered as a RR (Registered Representative) and started their career in finance in 2020. Dianne has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

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 Dianne 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

May 5, 2026 - Present

MOMENT MARKETS, LLC

Office #1: 395 Hudson St. 10th Floor, New York, NY 10014
BD
CRD#: 325062
NEW YORK, NY
Past

December 15, 2021 - March 26, 2024

TD FINANCIAL PRODUCTS LLC

BD
CRD#: 154838
CHICAGO, IL
Past

September 4, 2020 - November 4, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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: 9/9/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/4/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/27/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MM
MOMENT MARKETS, LLC
MOMENT MARKETS, LLC

CRD#: 325062 / SEC#: , 8-71045

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
395 Hudson St. 10th Floor, New York, NY 10014
Mailing Address
395 Hudson St. 10th Floor, New York, NY 10014
Phone number
(347) 389-1725
Established
Delaware since 01/17/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MOMENT TECHNOLOGY INC.SOLE MEMBER
FITZGERALD, HEATHERFINOP4427665
KHAN, RADOWAN AHMEDCEO6528148
LEIMAN-CARBIA, JULIUS RAPHAELCCO2468086

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

MOMENT MARKETS, LLC

CRD#: 325062New York, NY 10014

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