Sang 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.
Sang Lee was a registered financial professional .
Sang is a previously registered financial professional and started their career in finance in 1998. Sang had worked at 12 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - May 4, 2015
BLAYLOCK VAN, LLC
September 8, 2014 - February 5, 2015
MAXIM GROUP LLC
March 20, 2013 - September 4, 2014
THE VERTICAL GROUP
May 1, 2009 - March 26, 2013
LADENBURG THALMANN & CO. INC.
February 5, 2008 - May 6, 2009
WEDBUSH SECURITIES INC.
August 29, 2007 - February 5, 2008
WALTER J. DOWD, INC.
January 22, 2007 - April 23, 2007
TOUSSAINT CAPITAL PARTNERS, LLC
April 10, 2006 - December 4, 2006
HEDGE FUND CAPITAL PARTNERS, LLC
May 1, 2001 - January 24, 2006
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
March 6, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
September 15, 1998 - February 24, 2000
NATIONAL FINANCIAL SERVICES LLC
June 22, 1998 - July 31, 1998
NEBRASKA HUDSON COMPANY, INC.
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
Series 55
Date: 12/9/1998
Limited Representative-Equity Trader ExamCurrent Firm
BLAYLOCK VAN, LLC
CRD#: 145317 / SEC#: 801-69136, 8-67721
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBERT VAN SECURITIES, INC | SOLE VOTING MEMBER | |
| BLAYLOCK & COMPANY, INC | NON-VOTING MEMBER | |
| CIULLA, ALEXANDER JOHN | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2635660 |
| HOUGH, JERVIS BENNETT | BD CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER | 4291302 |
| KALISPEL TRIBAL ECONOMIC AUTHORITY | NON-VOTING MEMBER | |
| SEAPORT GLOBAL SECURITIES LLC | SHAREHOLDER | 116270 |
| STANDIFER, ERIC VAN | MANAGER; CEO; GSP; MSP | 1025776 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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