David Lee

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-09-26

Branch Locations

Cwm Retail, Sales 250 Old Country Road, Mineola, NY 11501 • United States

Cwm Retail, Sales 1150 Old Country Road, Westbury, NY 11590 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Hsbc Bank Usa	Franklin Square	NY	04/2015	01/2021
Hsbc Securities (Usa) Inc.	Franklin Square	NY	04/2015	01/2021
M&T Securities, Inc.	Farmingdale	NY	02/2021	06/2021
M&T Bank Corporation	Farmingdale	NY	01/2021	02/2022
Lpl Financial Llc	Farmingdale	NY	06/2021	02/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Garden City	NY	03/2022	08/2022
Bank Of America / Merrill Lynch	Garden City	NY	04/2022	08/2022
Jp Morgan Chase	Massapequa	NY	08/2022	09/2022
Citigroup	Wantagh	NY	09/2022	Present

04/2015 → 01/2021

Hsbc Bank Usa

Franklin Square, NY
04/2015 → 01/2021

Hsbc Securities (Usa) Inc.

Franklin Square, NY
02/2021 → 06/2021

M&T Securities, Inc.

Farmingdale, NY
01/2021 → 02/2022

M&T Bank Corporation

Farmingdale, NY
06/2021 → 02/2022

Lpl Financial Llc

Farmingdale, NY
03/2022 → 08/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY
04/2022 → 08/2022

Bank Of America / Merrill Lynch

Garden City, NY
08/2022 → 09/2022

Jp Morgan Chase

Massapequa, NY
09/2022 → Present

Citigroup

Wantagh, NY

2022-09-08 → 2022-09-24

J.P. Morgan Securities Llc

Massapequa, NY
2022-06-10 → 2022-08-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-06-01
S63	Uniform Securities Agent State Law Examination	2013-03-19