Jean S. 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.
Jean S Lee, who also goes by Jean Shew Lee, was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 1994. Jean had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - October 7, 2024
STONEX SECURITIES INC.
December 7, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
January 5, 2010 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
January 21, 2004 - July 13, 2009
HORNOR, TOWNSEND & KENT, LLC
August 11, 2003 - January 20, 2004
METROPOLITAN LIFE INSURANCE COMPANY
August 11, 2003 - January 20, 2004
MSI FINANCIAL SERVICES, INC.
February 5, 2003 - June 18, 2003
WORLD GROUP SECURITIES, INC.
July 7, 1995 - January 10, 2003
1717 CAPITAL MANAGEMENT COMPANY
June 7, 1995 - June 27, 1995
EQUITABLE ADVISORS, LLC
May 26, 1995 - June 27, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 2, 1994 - April 17, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 2, 1994 - April 17, 1995
EQUITABLE ADVISORS, 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
