Tony Lee is the Chief Compliance Officer for Perennial Financial Services. His main responsibilities include managing and overseeing all aspects of the firm’s compliance program and promoting a strong culture of compliance of high integrity, ethics, regulatory awareness, and education.
He began his 20 years of compliance career at FINRA as an Associate Examiner. In this role, his main focus was to ensure that the broker-dealer industry was following the rules and regulations designed to protect everyday investors as well as to preserve market integrity. After FINRA, he joined Countrywide Capital Markets to manage the regulatory compliance program for the mortgage backed securities underwriting business. Thereafter, he joined MUFG UnionBanc Investment Services to supervise the compliance activities for the institutional sales and fixed income trading desk.
Tony is a lifelong resident of Southern California and has attended University of California, Santa Barbara with a double major in Business Economics (Emphasis in Accounting) and in Political Science. He has also obtained the Chartered Financial Analyst (CFA) designation and is an active member of the CFA Society of Los Angeles. He currently maintains the following FINRA securities licenses: Series 7, 24, 53, 63, and 65.
He currently resides in South Bay with his wife and son. In his spare time, he enjoys playing the guitar, participating in his son’s extracurricular activities, and rooting for the Dodgers and the Lakers.
Investment advice offered through Perennial Investment Advisors, LLC, a registered investment advisor.