Individual Firm
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ROBERT LEWIS LEE
CRD#: 1170833
IA
B
RETIREMENT MONEY MANAGEMENTCRD#: 145149 2 N. Tamiami Trail #400
Sarasota, FL 34236
Sarasota, FL 34236
CETERA ADVISOR NETWORKS LLCCRD#: 13572 5001 LAKEWOOD RANCH BLVD, STE 105
SARASOTA, FL 34240
SARASOTA, FL 34240
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6/29/2004
Customer Dispute
Settled
State Registrations
B
Alaska 11/1/2017
B
Missouri 6/1/2018
B
California 11/1/2017
B
New Hampshire 6/18/2019
B
Colorado 11/1/2017
B
New Jersey 11/1/2017
B
Connecticut 11/1/2017
B
New York 11/1/2017
B
Delaware 3/7/2025
B
North Carolina 11/1/2017
IA
Florida 3/14/2017
B
Ohio 11/1/2017
B
Florida 11/2/2017
B
Oregon 7/1/2021
B
Georgia 11/1/2017
B
Pennsylvania 11/1/2017
B
Idaho 4/22/2021
B
South Carolina 10/5/2023
B
Indiana 4/27/2021
B
Tennessee 11/1/2017
B
Kentucky 7/21/2020
B
Texas 11/1/2017
B
Maryland 11/1/2017
IA
Texas 11/28/2017
B
Michigan 11/1/2017
B
Vermont 3/2/2022
B
Minnesota 11/1/2017
B
Virginia 11/1/2017
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/14/2017
B
Registered with this firm since 11/1/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/30/2007 - 11/01/2017 | SARASOTA, FL | |
IA | 12/19/2008 - 12/31/2016 | SARASOTA, FL | |
IA | 03/08/2010 - 12/31/2011 | SARASOTA, FL | |
IA | 04/01/1997 - 12/31/2007 | SARASOTA, FL | |
B | 09/02/1983 - 05/30/2007 | SARASOTA, FL | |
B | 04/23/1991 - 12/31/1992 | FORT WASHINGTON, PA |
SARASOTA, FL
04/01/1997 - 12/31/2007
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.