Jeffrey D. 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.
Jeffrey Dean Lee, who also goes by Jeff Lee, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1981. Jeffrey had worked at 5 firms and has passed the Series 63, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1990 - June 27, 1996
CHAPMAN SECURITIES, INC.
December 15, 1989 - March 20, 1990
MOMENTUM INDEPENDENT NETWORK INC.
November 18, 1987 - January 13, 1990
FIRM ONE SECURITIES, INCORPORATED
January 25, 1982 - December 19, 1983
FIRST MID-AMERICA INC.
January 25, 1982 - November 24, 1987
UBS FINANCIAL SERVICES INC.
July 20, 1981 - August 27, 1981
FIRST MID-AMERICA INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHAPMAN SECURITIES, INC.
CRD#: 25688 / SEC#: , 8-41972
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Bond | 1 |
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.
