Brian Lee Resigns from His Position at Cambridge Investment Research
Brian Lee (CRD #: 2950037), a broker and financial advisor registered with LPL Financial recently resigned from his position at Cambridge Investment Research, according to his BrokerCheck record, accessed on November 17, 2021. Details surrounding his resignation have been provided below.
On August 10, 2021, Brian Lee voluntarily resigned from Cambridge Investment Research following allegations that he reused client signatures from previously signed client forms without client knowledge. This allegation would constitute a violation of FINRA Rule 2010, which demands that brokers observe high standards of commercial honor.
This is not the first time Brian Lee has voluntarily resigned. On September 15, 2010, he resigned from NMIS while he was under investigation following allegations that he was involved in undisclosed private securities transactions and the sale of equity-indexed annuities. According to FINRA Rule 3280, brokers must have any private securities transactions approved by the firm.
Brian Lee has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 31 – Futures Managed Funds Examination
- Series 7 – General Securities Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
Brian Lee is a registered broker in 11 states and a registered investment advisor in Texas.
Other than LPL Financial, Brian Lee has also worked with:
- Cambridge Investment Research Advisors (CRD#: 134139)
- Cambridge Investment Research (CRD#: 39543)
- MML Investors Services (CRD#: 10409)
- Northwestern Mutual Wealth Management Company (CRD#: 109729)
- Northwestern Mutual Investment Services (CRD#: 2881)
- Nationwide Securities (CRD#: 11173)
- Morgan Stanley (CRD#: 7556)
- Robert W. Baird & Co. Incorporated (CRD#: 8158)
Kurta Law Can Help
If you have suffered losses after working with Brian Lee, don’t hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
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