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YL

Youngjin Lee

ACE DIVERSIFIED CAPITAL
Los Angeles, CA 90010
Some features on this profile are disabled
CRD#: 1939369
YL

Professional summary

Youngjin Lee is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in Los Angeles, California.

Youngjin is registered as a RR (Registered Representative) and started their career in finance in 1989. Youngjin has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Youngjin Lee's CRS (Customer Relationship Summary).
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

November 23, 2010 - Present

ACE DIVERSIFIED CAPITAL, INC.

Office #1: 3600 Wilshire Blvd. Suite 2035, Los Angeles, CA 90010
BD
CRD#: 41768
Los Angeles, CA
Past

May 15, 2009 - February 18, 2011

GB INVESTMENT SECURITIES, INC.

BD
CRD#: 22562
LOS ANGELES, CA
Past

February 8, 2005 - October 23, 2009

ETECH SECURITIES, INC.

BD
CRD#: 104195
LOS ANGELES, CA
Past

March 13, 2003 - August 30, 2004

HANMI SECURITIES, INC.

BD
CRD#: 25518
LOS ANGELES, CA
Past

August 3, 1994 - December 18, 2002

DAEHAN SECURITIES, INC.

BD
CRD#: 25447
LOS ANGELES, CA
Past

July 23, 1991 - August 3, 1999

TRIGEM AMERSTOCK CORPORATION

BD
CRD#: 10915
Past

April 5, 1991 - June 6, 1991

DAEHAN SECURITIES, INC.

BD
CRD#: 25447
LOS ANGELES, CA
Past

April 23, 1990 - April 3, 1991

GREAT KOREA SECURITIES, INC.

BD
CRD#: 25939
Past

July 21, 1989 - January 27, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

July 21, 1989 - January 27, 1990

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

April 10, 1989 - April 29, 1989

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO

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
California
(11/24/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/26/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/17/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/7/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/3/1990
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ACE DIVERSIFIED CAPITAL, INC.
ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768 / SEC#: , 8-49555

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Mailing Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Phone number
(626) 307-8300
Established
California since 07/31/1996
Firm type
Corporation
Fiscal year end
July
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JEN, LYNNWOODCEO, CCO2198343
JEN, LYNNWOODPFO, POO2198343
TIEN, SHYUEWEN GEORGEFINOP, CFO1941281

Disclosures

Regulatory Event2

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.

Company Information

ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768Los Angeles, CA 90010

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