JL
John A. Lee
GRIFFIN FINANCIAL GROUP
King Of Prussia, PA 19406
Some features on this profile are disabled
CRD#: 2542960
JL
Professional summary
John Alexander Lee is a registered financial professional currently at GRIFFIN FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania.
John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view John Alexander 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®
NoneExperience
Current
February 21, 2003 - Present
GRIFFIN FINANCIAL GROUP, LLC
Office #1: 620 Freedom Business Center, King Of Prussia, PA 19406BD
CRD#: 119004
King Of Prussia, PA
Past
November 1, 2001 - April 17, 2002
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
October 16, 1998 - November 14, 2001
BERWIND FINANCIAL, L.P.
BD
CRD#: 41473
PHILADELPHIA, PA
Past
February 6, 1995 - September 9, 1996
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/7/2010)
RR
Arizona(12/7/2010)
RR
Arkansas(12/7/2010)
RR
California(12/7/2010)
RR
Colorado(12/7/2010)
RR
Connecticut(12/7/2010)
RR
Delaware(10/11/2007)
RR
District of Columbia(12/7/2010)
RR
Florida(2/1/2008)
RR
Georgia(12/7/2010)
RR
Idaho(12/7/2010)
RR
Illinois(12/7/2010)
RR
Indiana(12/7/2010)
RR
Iowa(12/7/2010)
RR
Kansas(12/7/2010)
RR
Kentucky(12/7/2010)
RR
Louisiana(12/7/2010)
RR
Maine(12/7/2010)
RR
Maryland(10/11/2007)
RR
Massachusetts(12/7/2010)
RR
Michigan(12/7/2010)
RR
Minnesota(12/7/2010)
RR
Mississippi(12/7/2010)
RR
Missouri(12/7/2010)
RR
Montana(12/7/2010)
RR
Nebraska(12/7/2010)
RR
Nevada(12/7/2010)
RR
New Hampshire(12/7/2010)
RR
New Jersey(3/30/2005)
RR
New Mexico(12/7/2010)
RR
New York(3/10/2005)
RR
North Carolina(12/7/2010)
RR
North Dakota(12/7/2010)
RR
Ohio(12/7/2010)
RR
Oklahoma(12/7/2010)
RR
Oregon(12/7/2010)
RR
Pennsylvania(2/21/2003)
RR
Rhode Island(12/7/2010)
RR
South Carolina(12/7/2010)
RR
South Dakota(12/7/2010)
RR
Tennessee(12/7/2010)
RR
Texas(12/7/2010)
RR
Utah(12/7/2010)
RR
Vermont(12/7/2010)
RR
Virginia(12/7/2010)
RR
Washington(12/7/2010)
RR
West Virginia(12/7/2010)
RR
Wisconsin(12/7/2010)
RR
Wyoming(12/7/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GF
GRIFFIN FINANCIAL GROUP, LLC
GRIFFIN FINANCIAL | GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
607 Washington Street, Reading, PA 19603
Mailing Address
607 Washington Street, Reading, PA 19603
Phone number
(610) 478-2105
Established
Pennsylvania since 08/16/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
