JL
Joseph P. Lee
FEF DISTRIBUTORS
New York, NY 10105
Some features on this profile are disabled
CRD#: 1143981
JL
Professional summary
Joseph Patrick Lee, who also goes by Joe Lee, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1985. Joseph has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 5, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joe Lee
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Patrick Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 10, 2017 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800BD
CRD#: 46585
New York, NY
Past
January 22, 2015 - December 23, 2016
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
April 10, 2008 - July 23, 2014
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
April 21, 1999 - April 7, 2008
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 22, 1995 - April 25, 1999
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
November 10, 1994 - July 5, 1995
T.R. WINSTON & COMPANY, LLC
BD
CRD#: 10571
BEDMINSTER, NJ
Past
April 11, 1988 - March 21, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 15, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
April 23, 1985 - August 26, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/10/2017)
RR
Alaska(1/10/2017)
RR
Arizona(1/10/2017)
RR
Arkansas(1/10/2017)
RR
California(1/10/2017)
RR
Colorado(1/10/2017)
RR
Connecticut(1/10/2017)
RR
Delaware(1/10/2017)
RR
District of Columbia(1/10/2017)
RR
Florida(1/10/2017)
RR
Georgia(1/10/2017)
RR
Hawaii(1/10/2017)
RR
Idaho(1/10/2017)
RR
Illinois(1/10/2017)
RR
Indiana(1/10/2017)
RR
Iowa(1/10/2017)
RR
Kansas(1/10/2017)
RR
Kentucky(1/10/2017)
RR
Louisiana(1/10/2017)
RR
Maine(1/10/2017)
RR
Maryland(1/10/2017)
RR
Massachusetts(1/10/2017)
RR
Michigan(1/10/2017)
RR
Minnesota(1/10/2017)
RR
Mississippi(1/10/2017)
RR
Missouri(1/10/2017)
RR
Montana(1/10/2017)
RR
Nebraska(1/10/2017)
RR
Nevada(1/10/2017)
RR
New Hampshire(1/10/2017)
RR
New Jersey(1/10/2017)
RR
New Mexico(1/10/2017)
RR
New York(1/10/2017)
RR
North Carolina(1/11/2017)
RR
North Dakota(1/10/2017)
RR
Ohio(1/10/2017)
RR
Oklahoma(1/10/2017)
RR
Oregon(1/10/2017)
RR
Pennsylvania(1/10/2017)
RR
Puerto Rico(1/10/2017)
RR
Rhode Island(1/10/2017)
RR
South Carolina(1/10/2017)
RR
South Dakota(1/10/2017)
RR
Tennessee(1/10/2017)
RR
Texas(1/10/2017)
RR
Utah(1/10/2017)
RR
Vermont(1/10/2017)
RR
Virginia(1/10/2017)
RR
Washington(1/10/2017)
RR
West Virginia(1/10/2017)
RR
Wisconsin(1/10/2017)
RR
Wyoming(1/10/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 2/13/1985
Interest Rate Options ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
