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JL

Jon K. Lee

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CRD#: 2538075
JL

Professional summary

Jon Kwan Lee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jon is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Jon had worked at 3 firms, which includes CAMBRIDGE CAPITAL LLC, PRUDENTIAL EQUITY GROUP LLC, GKN SECURITIES CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 11, 1997 - July 13, 2000

CAMBRIDGE CAPITAL, LLC

BD
CRD#: 41464
GARDEN CITY, NY
Past

September 19, 1996 - October 24, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 11, 1994 - April 4, 1996

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1997
General Securities Principal Examination

Current Firm

CC
CAMBRIDGE CAPITAL, LLC
CAMBRIDGE CAPITAL, LLC

CRD#: 41464 / SEC#: , 8-49446

BD
Terminated by SEC on 09/11/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/15/1995
Firm type
Other Types of Legal Formation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FRANCES THOMAS LLCMEMBER
CARDELLO, MICHAEL SAMFINOP718970
LEE, JON KWANSUPERVISOR RETAIL SALES2538075
ROSSI, THOMAS MICHAELCEO, MANAGER, DIRECTOR OF COMPLIANCE2333282
STEELE, TERRY JEANDIRECTOR OF OPERATIONS, SROP, CROP, MSP.712186

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

CAMBRIDGE CAPITAL, LLC

CRD#: 41464

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