Thomas J. Lee

IRC SECURITIES LLC

New York, NY 10170

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CRD#: 2420517

Professional summary

Thomas Jong Lee is a registered financial professional currently at IRC SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 9 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Thomas Jong 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®

None

Experience

Current

August 18, 2014 - Present

IRC SECURITIES LLC

Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170

CRD#: 150022

New York, NY

Past

October 1, 2008 - June 9, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 1, 2001 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 5, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 27, 2000 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

November 29, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

June 5, 1997 - January 13, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 24, 1996 - March 25, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 1, 1994 - January 11, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(8/18/2014)

Exams

State Security Law Exam

Series 63

Date: 10/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/17/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/28/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

IRC SECURITIES LLC

INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC | IRC SECURITIES LLC

CRD#: 150022 / SEC#: , 8-68208

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

420 Lexington Avenue Suite 300, New York, NY 10170

Mailing Address

420 Lexington Avenue Suite 300, New York, NY 10170

Phone number

(646) 355-0940

Established

Delaware since 06/30/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVESTMENT RESEARCH CONSORTIUM	100% OWNER
COOPER, NANCY JOAN	FINANCIAL OPERATIONS PRINCIPAL	4029120
O'DAY, BRIAN THOMAS	CEO/PRESIDENT/CCO	1331173

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas J. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jong Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/1996

SIE

Date: 10/1/2018

Series 87

Date: 3/17/2005

Series 7

Date: 1/28/1994

FINRA

Current Firm

IRC SECURITIES LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IRC SECURITIES LLC

TRUST BUT VERIFY

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