Jessie J. Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jessie James Lee, who also goes by J James Lee, James Lee, was a registered financial professional .
Jessie is a previously registered financial professional and started their career in finance in 1983. Jessie had worked at 15 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2015 - April 8, 2016
VANGUARD MARKETING CORPORATION
June 14, 2013 - July 28, 2015
PATRICK HUBERT PARTNERS LLC
June 14, 2013 - May 29, 2015
PENSERRA SECURITIES, LLC
September 7, 2012 - December 31, 2013
PATRICK HUBERT PARTNERS LLC
January 2, 2009 - March 3, 2010
FURTHER LANE SECURITIES, L.P.
December 8, 2005 - November 20, 2006
ROBERT VAN SECURITIES, INC.
June 13, 2005 - November 20, 2006
ROBERT VAN SECURITIES, INC.
August 9, 2002 - June 19, 2003
CITIGROUP GLOBAL MARKETS INC.
August 8, 2002 - June 19, 2003
CITIGROUP GLOBAL MARKETS INC.
September 17, 1998 - September 21, 2001
FRED ALGER & COMPANY, LLC
July 23, 1996 - March 3, 1998
DAKIN SECURITIES CORPORATION
June 14, 1996 - July 24, 1996
EQIS SECURITIES, LLC
May 16, 1995 - June 19, 1996
ROBERT VAN SECURITIES, INC.
October 31, 1994 - January 18, 1995
COWEN PRIME SERVICES TRADING LLC
July 20, 1994 - October 25, 1994
WELLS FARGO SECURITIES INC.
July 16, 1991 - August 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1990 - July 2, 1991
MONARCH SECURITIES, INC.
April 4, 1990 - November 16, 1990
EQIS SECURITIES, LLC
July 9, 1986 - January 10, 1990
MONTGOMERY SECURITIES
April 19, 1983 - June 4, 1986
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
