Vivian W. Lee

JETT CAPITAL ADVISORS

New York, NY 10019

Some features on this profile are disabled

CRD#: 1522522

Professional summary

Vivian Wha Kyung Lee, who also goes by VIvian Wha Kyung Lee, Vivian Whakyung Lee, is a registered financial professional currently at JETT CAPITAL ADVISORS, LLC located in New York, New York.

Vivian is registered as a RR (Registered Representative) and started their career in finance in 1988. Vivian has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vivian Wha Kyung Lee | Vivian Whakyung 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vivian Wha Kyung 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®

None

Experience

Current

February 27, 2024 - Present

JETT CAPITAL ADVISORS, LLC

Office #1: 712 Fifth Avenue 11th Floor, New York, NY, 10019

CRD#: 169127

New York, NY

Past

June 30, 2023 - August 18, 2023

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Annapolis, MD

Past

October 28, 2019 - January 4, 2022

PANMURE GORDON SECURITIES LIMITED

CRD#: 268823

LONDON,

Past

March 15, 2019 - July 8, 2019

C6 CAPITAL SECURITIES LLC

CRD#: 299058

New York, NY

Past

July 12, 2018 - January 31, 2019

LOUIS CAPITAL MARKETS, LLC

CRD#: 48013

PARIS,

Past

May 4, 2018 - October 15, 2018

PANMURE GORDON SECURITIES LIMITED

CRD#: 268823

LONDON,

Past

March 16, 2018 - June 7, 2023

ARK SECURITIES LLC

CRD#: 246787

PALO ALTO, CA

Past

May 16, 2016 - November 10, 2017

CLEARINGBID MARKETS, INC.

CRD#: 269999

New York, NY

Past

November 22, 2013 - June 10, 2015

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, NY

Past

March 30, 2012 - March 4, 2013

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

March 14, 1996 - November 4, 1998

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 16, 1995 - November 20, 1995

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

October 5, 1994 - December 1, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 3, 1990 - July 9, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 25, 1988 - March 2, 1989

ROBERT FLEMING INC.

CRD#: 1711

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(2/27/2024)

Exams

State Security Law Exam

Series 63

Date: 6/9/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 11/21/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 10/4/2012

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/28/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JETT CAPITAL ADVISORS, LLC

CRD#: 169127 / SEC#: , 8-69353

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

712 Fifth Avenue 11th Floor, New York, NY, 10019

Mailing Address

712 Fifth Avenue 11th Floor, New York, NY, 10019

Phone number

(212) 616-0423

Established

Delaware since 08/19/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JETT CAPITAL ADVISORS HOLDINGS, LLC	OWNER
RIGGIO, JOSEPH ANTHONY	CEO, PARTNER	2801840
GRAY, JOHN CLARKE	CFO & FINOP; PFO, POO	1367440
LEE, VIVIAN	CHIEF COMPLIANCE OFFICER	1522522

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Vivian W. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vivian Wha Kyung Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

PANMURE GORDON SECURITIES LIMITED

C6 CAPITAL SECURITIES LLC

LOUIS CAPITAL MARKETS, LLC

PANMURE GORDON SECURITIES LIMITED

ARK SECURITIES LLC

CLEARINGBID MARKETS, INC.

SIDOTI & COMPANY, LLC

TRUIST SECURITIES, INC.

DB ALEX. BROWN LLC

NATWEST SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROBERT FLEMING INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 11/21/2016

Series 87

Date: 10/4/2012

Series 7

Date: 3/28/2012

Series 24

Date: 11/19/2012

FINRA

Current Firm

JETT CAPITAL ADVISORS, LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JETT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors