Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Maurice Lee is a financial advisor with over 20 years of experience in the securities industry. Thomas is currently registered with Quattro M Securities Inc. in New York. Previously, Thomas was associated with Farina & Associates, Inc., Jefferies Execution Services, Inc. and Brown Brothers Harriman & Co. Thomas holds a Series 7, Series 55, Series 63, Series 57TO and SIE licenses.
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
NY
02/13/2009 - Present
Quattro M Securities Inc. (NEW YORK NY)
NY
10/01/2008 - 02/17/2009
FARINA & ASSOCIATES, INC. (NEW YORK NY)
NY
06/09/2008 - 10/02/2008
JEFFERIES EXECUTION SERVICES, INC. (NEW YORK NY)
NY
03/30/2005 - 07/10/2007
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
NY
01/25/2001 - 06/27/2007
MONACO BROKERAGE CORPORATION (NEW YORK NY)
BC
Issued 02/26/2004
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 05/17/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/2003
Series 7 - General Securities Representative Examination
BC
Issued 08/28/2001
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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