Woo J. 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.
Woo Jae Lee, who also goes by Jae Lee, Woo Jae Lee, was a registered financial professional .
Woo is a previously registered financial professional and started their career in finance in 1996. Woo had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2023 - January 9, 2025
SG AMERICAS SECURITIES, LLC
October 26, 2021 - November 21, 2022
MUFG SECURITIES AMERICAS INC.
October 21, 2008 - March 31, 2020
HSBC SECURITIES (USA) INC.
July 16, 2007 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
July 20, 2005 - June 29, 2007
J.P. MORGAN SECURITIES INC.
April 17, 2003 - July 21, 2005
DEUTSCHE BANK SECURITIES INC.
March 5, 2001 - April 25, 2003
MORGAN STANLEY & CO. LLC
October 16, 2000 - March 7, 2001
CREDIT SUISSE SECURITIES (USA) LLC
December 14, 1999 - October 16, 2000
PERSHING LLC
June 22, 1999 - September 17, 1999
PERSHING LLC
July 2, 1996 - July 24, 1998
CREDIT SUISSE SECURITIES (USA) 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
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
