Samuel Lees
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.
Samuel Lees, who also goes by Samuel Joseph Lees, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2024. Samuel had worked at 2 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2024 - October 9, 2024
TRINITY WEALTH SECURITIES, L.L.C.
June 12, 2024 - October 9, 2024
FLORIDA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 8/20/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
TRINITY WEALTH SECURITIES, L.L.C.
CRD#: 104348 / SEC#: , 8-52801
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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