Seong Y. 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.
Seong Yeol Lee was a registered financial professional .
Seong is a previously registered financial professional and started their career in finance in 1989. Seong had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 1996 - October 3, 2002
AMERITRUST SECURITIES INC.
May 2, 1996 - May 15, 1996
LANDMARK INTERNATIONAL EQUITIES
September 19, 1995 - May 23, 1996
DUKE & CO., INC.
June 30, 1995 - October 3, 1995
MEYERS POLLOCK ROBBINS, INC.
February 26, 1993 - January 31, 1996
METROPOLITAN LIFE INSURANCE COMPANY
February 26, 1993 - January 31, 1996
MSI FINANCIAL SERVICES, INC.
April 30, 1991 - July 14, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 30, 1991 - July 14, 1992
PRUCO SECURITIES, LLC.
September 12, 1989 - March 26, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 12, 1989 - March 26, 1990
PRUCO SECURITIES, 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
AMERITRUST SECURITIES INC.
CRD#: 13384 / SEC#: , 8-29524
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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