Christopher Michael Lee

Current Employers

New England Capital Financial Advisors Llc

1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2014-03-20
CT	RA	APPROVED	1998-04-28

TX RA
APPROVED

Since 2014-03-20
CT RA
APPROVED

Since 1998-04-28

Branch Locations

1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 • 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

Organization	City	State	From	To
New England Capital Financial Advisors Llc	Wallingford	CT	01/2003	Present
Purshe Kaplan Sterling Investments	Albany	NY	01/2013	09/2023

01/2003 → Present

New England Capital Financial Advisors Llc

Wallingford, CT
01/2013 → 09/2023

Purshe Kaplan Sterling Investments

Albany, NY

Other Businesses

1. BOARD MEMBER OF JUMP START - COALITION FOR PERSONAL FINANCIAL LITERACY 11 ASYLUM ST #601 HARTFORD CT 06103 1 HR/WK 2. FPA CONNECTICUT CHAPTER; NOT INVESTMENT RELATED; 95 WEST ST ROCKY HILL, CT 06067; TRADE ASSOC; PRESIDENT; 05/2018; 2 HOURS/MONTH; 0 HOURS DURING SECURITIES HOURS; ASSIST THE CHAPTER PRESIDENT IN GETTING SPEAKERS, EVENTS, FUNDRAISING AND HELP WITH MEMBERSHIP. 3. MALONEY HIGH SCHOOL REUNION COMMITTEE. NOT INVESTMENT RELATED. 121 GRAVEL ST, MERIDEN, CT 06450. REUNION COMMITTEE. COMMITTEE MEMBER. START DATE 01/2020. 1 HOUR PER MONTH/0 DURING TRADING HOURS. HELP/ORGANIZE/PLAN 30TH HIGH SCHOOL CLASS REUNION.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-13
S63	Uniform Securities Agent State Law Examination	1996-01-18

S65 Uniform Investment Adviser Law Examination

1996-06-13
S63 Uniform Securities Agent State Law Examination

1996-01-18

Designations

View on SEC IAPD