Michael S. 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.
Michael S Lee, CFA, who also goes by Mike Lee, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2019 - June 21, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
June 17, 2019 - June 21, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
June 16, 2009 - June 10, 2019
J.P. MORGAN SECURITIES LLC
May 28, 2009 - June 10, 2019
J.P. MORGAN SECURITIES LLC
February 22, 2002 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
October 12, 1998 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
May 25, 1988 - July 9, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 12/31/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
