Lee J. Gaskell
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.
Lee James Gaskell was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1979. Lee had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2012 - September 12, 2013
B. RILEY & CO., LLC
October 21, 2004 - December 14, 2012
CARIS & COMPANY, INC.
September 24, 2003 - November 4, 2004
KAUFMAN BROS., L.P.
July 25, 2002 - September 5, 2003
BLAYLOCK & COMPANY, INC.
June 1, 2001 - May 1, 2002
FULCRUM GLOBAL PARTNERS LLC
April 24, 1990 - June 15, 2001
SOUNDVIEW TECHNOLOGY CORPORATION
May 11, 1987 - August 6, 1987
ROBERT FLEMING INC.
April 2, 1979 - January 1, 1987
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
B. RILEY & CO., LLC
CRD#: 40355 / SEC#: , 8-49016
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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