Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Lee is a securities professional with over 15 years of experience in the financial services industry. Robert currently holds a Series 7, Series 55, Series 3, Series 57TO, and SIE license, and is registered in New York. Robert has previously worked at a number of firms including RBC CAPITAL MARKETS, LLC, BNP PARIBAS SECURITIES CORP., SANFORD C. BERNSTEIN & CO., LLC, UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC., J.P. MORGAN SECURITIES INC., LIGHTSPEED TRADING, LLC, LIGHTSPEED PROFESSIONAL TRADING LLC, E*TRADE CLEARING LLC, E*TRADE SECURITIES LLC, GENESIS SECURITIES, LLC, and ASSENT LLC. Robert is currently employed by Smbc Nikko Securities America, Inc. and works out of the Jersey City, NJ branch office.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NJ
10/13/2023 - Present
Smbc Nikko Securities America, Inc. (Jersey City NJ)
NJ
11/12/2020 - 02/23/2022
RBC CAPITAL MARKETS, LLC (Jersey City NJ)
NY
01/14/2016 - 11/02/2020
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
05/01/2015 - 01/19/2016
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NJ
06/20/2012 - 10/04/2013
UBS SECURITIES LLC (WEEHAWKEN NJ)
NJ
06/14/2010 - 10/04/2013
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/02/2008 - 05/25/2010
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
01/03/2008 - 03/13/2008
LIGHTSPEED TRADING, LLC (NEW YORK NY)
NY
10/31/2005 - 03/13/2008
LIGHTSPEED PROFESSIONAL TRADING LLC (NEW YORK NY)
NJ
10/31/2005 - 12/31/2005
E*TRADE CLEARING LLC (JERSEY CITY NJ)
NY
10/31/2005 - 12/31/2005
E*TRADE SECURITIES LLC (NEW YORK NY)
NY
12/17/2004 - 10/26/2005
GENESIS SECURITIES, LLC (NEW YORK NY)
IL
02/25/2004 - 11/16/2004
ASSENT LLC (BOLINGBROOK IL)
BC
Issued 04/15/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2008
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/24/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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