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Daniel Scott Peters

Lee Financial Company, LLC

Dallas, TX

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Current Employers
Lee Financial Company, Llc

8350 N. Central Expressway Suite 1800, Dallas, TX 75206 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-07-06
  • TX RA
    APPROVED
    Since 2009-07-06

Branch Locations

8350 N. Central Expressway Suite 1800, Dallas, TX 75206 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lee Financial Corporation Dallas TX 07/2009 Present
  • 07/2009 → Present
    Lee Financial Corporation
    Dallas, TX
Previous Registrations
  • 2006-01-10 → 2009-01-06
    J.P. Morgan Investment Management Inc.
    New York, NY
  • 2005-06-02 → 2005-12-31
    J.P. Morgan Asset Management
    Columbus, OH
  • 2004-08-04 → 2005-01-13
    J.P. Morgan Asset Management
    Columbus, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-04-15
S63 Uniform Securities Agent State Law Examination 1992-04-06
  • S65 Uniform Investment Adviser Law Examination
    2004-04-15
  • S63 Uniform Securities Agent State Law Examination
    1992-04-06
Other Names
  • Dan Peters

View on SEC IAPD

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