Benjamin T. 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.
Benjamin Thomas Lee, who also goes by Benjamin Lee, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2024. Benjamin had worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2025 - April 29, 2025
INTREPID INVESTMENT BANKERS LLC
July 29, 2024 - September 30, 2024
CASCADIA CAPITAL, LLC
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 79TO
Date: 7/27/2024
Investment Banking Registered Representative ExaminationCurrent Firm
INTREPID INVESTMENT BANKERS LLC
CRD#: 154801 / SEC#: , 8-68674
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| BAGDASARIAN, EDUARD | CEO | 1307175 |
| FREEDMAN, JAMES BARRY | MANAGING DIRECTOR, CHAIRMAN | 1616904 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORIN, STACEY LYNN | CHIEF FINANCIAL OFFICER | 5649422 |
| ROSENBERG, W MICHAEL | SENIOR MANAGING DIRECTOR | 1617639 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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