Johnman 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.
Johnman Lee, who also goes by John Lee, was a registered financial professional .
Johnman is a previously registered financial professional and started their career in finance in 1986. Johnman had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2016 - August 4, 2021
HARRISDIRECT LLC
April 18, 2016 - August 4, 2021
E*TRADE SECURITIES LLC
November 5, 2014 - January 8, 2016
SORRENTO PACIFIC FINANCIAL, LLC
December 4, 2013 - January 8, 2016
SORRENTO PACIFIC FINANCIAL, LLC
January 4, 2008 - August 1, 2012
CYPRESS CAPITAL CORPORATION
March 30, 2006 - December 18, 2007
ATEL SECURITIES CORPORATION
September 30, 2004 - July 6, 2005
CION SECURITIES, LLC
May 11, 1998 - September 30, 2003
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 22, 1997 - March 4, 1998
MCCLURG CAPITAL CORPORATION
June 28, 1995 - August 31, 1998
CAPITAL BROKERAGE CORPORATION
May 3, 1995 - June 28, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
July 24, 1992 - February 13, 1995
HAMILTON INVESTMENTS, INC.
March 20, 1990 - November 21, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 1989 - February 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 2, 1989 - February 15, 1990
MONY SECURITIES CORPORATION
June 26, 1986 - September 29, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 26, 1986 - September 29, 1988
EQUITABLE ADVISORS, LLC
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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
