KL
Kyongjin Lee
MAINSTREAM CAPITAL MANAGEMENT
Los Angeles, CA 90010
Some features on this profile are disabled
CRD#: 2178866
KL
Professional summary
Kyongjin Lee, who also goes by Jin Lee, Kyong Jin Lee, Kyongjin Lee, is a registered financial advisor currently at MAINSTREAM CAPITAL MANAGEMENT located in Los Angeles, California and STONEHAVEN, LLC located in New York, New York.
Kyongjin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kyongjin has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jin Lee | Kyong Jin Lee | Kyongjin 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.
1. MAINSTREAM CAPITAL HOLDINGS (SHOEDAZZLE); not investment related; LOS ANGELES, CA. GENERAL PARTNER IN RETAIL SHOE BUSINESS. 12/08/2010; 0 HOURS/month, 0 hours/TRADING HOURS. 2. Mainstream Capital Management - LOS ANGELES, CA. OWNER - RENTING OUT OFFICE SPACE. STARTED 8/31/2010. 0 HOUR WEEKLY, 0 DURING TRADING HOURS. NOT INVESTMENT RELATED. 04/2014 TO PRESENT - NON-VARIABLE INSURANCE - APPOINTED AGENT - 1 HOUR PER MONTH - 1 HOUR DURING TRADING HOURS - INVESTMENT RELATED 3. UNITED STATES ARMY RESERVE- LOS ALAMITOS, CA - 06/2006 TO PRESENT - Rank: Major Exercise Observer/Controller After Action Review Commentator/Reviewer -0 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - NOT INVESTMENT RELATED 4. KEMOSABE CONSULTING - LOS ANGELES, CA. OPERATIONAL AND PHYSICAL SECURITY CONSULTANT. STARTED 1/2013 TO PRESENT. 0 HOURS WEEKLY, 0 DURING TRADING HOURS. NOT INVESTMENT RELATED. SECURITY CONSULTANT. 5. Yalu River Partners LLC; investment related; 3435 Wilshire Blvd., #1100, Los Angeles, CA; Investment holding company; Managing Partner; 2012; 1 hours/month; 0 hours/trading day; Manage the accounting and distribution of the underlying assets. 6. Osher Korean BBQ Partners; investment related; 3435 Wilshire Blvd, #1100, Los Angeles, CA; investment holding company; Managing Partner; 1/2020; 1 hour/month; 0 hours/trading d; manage the accounting and distribution of the underlying assets. 7. Mainstream Capital Group - Not Investment Related - Managing Partner - Support Company - Personal Corporation- approx 1 hour a month not during market trading hours. 8. 11th Floor Holdings, LLC - Investment Related - Managing Partner - sourcing and selling suitable private investment offerings to qualified investors - appox 20 hours per month - mostly during market trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kyongjin 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®
NoneExperience
Current
March 10, 2022 - Present
MAINSTREAM CAPITAL MANAGEMENT
Office #1: 3435 Wilshire Blvd 1100, Los Angeles, CA 90010RIA
CRD#: 297145
Los Angeles, CA
Current
July 14, 2023 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020BD
CRD#: 118913
NEW YORK, NY
Past
January 2, 2009 - July 9, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LOS ANGELES, CA
Past
June 2, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
LOS ANGELES, CA
Past
June 2, 2006 - July 9, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LOS ANGELES, CA
Past
May 15, 2001 - June 5, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
LOS ANGELES, CA
Past
April 25, 2001 - June 5, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
LOS ANGELES, CA
Past
November 7, 2000 - January 23, 2001
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
NEW YORK, NY
Past
October 11, 1999 - January 23, 2001
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
February 19, 1998 - December 21, 1999
FIRST FUND DISTRIBUTORS, INC.
BD
CRD#: 27038
PHOENIX, AZ
Past
July 3, 1997 - December 8, 1997
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
November 17, 1994 - June 19, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 22, 1992 - April 6, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MC
MAINSTREAM CAPITAL MANAGEMENT
BLUE DOG CAPITAL MANAGEMENT | MAINSTREAM CAPITAL MANAGEMENT LLC | MAINSTREAM CAPITAL MANAGEMENT | BLUEDOG CAPITAL MANAGEMENT LLC | BLUEDOG ADVISORY | BLUE DOG CAPITAL MANAGEMENT LLC
CRD#: 297145 / SEC#: 801-122460
RIA
Registered Investment Advisory firm - (10/8/2021 Approved)California
Registered Investment Advisory firm - (1/22/2022 Terminated)Connecticut
Registered Investment Advisory firm - (1/21/2022 Terminated)Florida
Registered Investment Advisory firm - (12/23/2021 Terminated)New York
Registered Investment Advisory firm - (12/23/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2021 Terminated)Washington
Registered Investment Advisory firm - (1/21/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
California(3/10/2022)
RR
California(7/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/14/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MAINSTREAM CAPITAL MANAGEMENT
BLUE DOG CAPITAL MANAGEMENT | MAINSTREAM CAPITAL MANAGEMENT LLC | MAINSTREAM CAPITAL MANAGEMENT | BLUEDOG CAPITAL MANAGEMENT LLC | BLUEDOG ADVISORY | BLUE DOG CAPITAL MANAGEMENT LLC
CRD#: 297145 / SEC#: 801-122460
RIA
Registered Investment Advisory firm - (10/8/2021 Approved)California
Registered Investment Advisory firm - (1/22/2022 Terminated)Connecticut
Registered Investment Advisory firm - (1/21/2022 Terminated)Florida
Registered Investment Advisory firm - (12/23/2021 Terminated)New York
Registered Investment Advisory firm - (12/23/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2021 Terminated)Washington
Registered Investment Advisory firm - (1/21/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3435 Wilshire Blvd 1100, Los Angeles, CA 90010
Mailing Address
Phone number
(213) 365-6773
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 209,944,513 |
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.
