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BL

Brian C. Lee

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CRD#: 2677650
BL

Professional summary

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

Brian is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Brian had worked at 1 firm, which includes JOSEPH CHARLES & ASSOC. INC..

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

January 12, 1996 - December 13, 1996

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL

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: 1/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/1996
General Securities Representative Examination

Current Firm

JC
JOSEPH CHARLES & ASSOC., INC.
COOPER INVESTMENTS, INC. | JOSEPH CHARLES & ASSOCIATES, INC. | JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949 / SEC#: , 8-12410

BD
Terminated by SEC on 01/16/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/06/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JOSEPH CHARLES & COMPANYSHAREHOLDER
PINTSOPOULOS, ANTHONY CDIRECTOR OF COMPLIANCE3216357
SPITLER, ROBERT PENDLETONFINANCIAL OPERATIONS (FN)4050312
VISCONTI, JOSEPH CHARLESPRESIDENT/CEO/DIRECTOR1434573

Disclosures

Regulatory Event11
Arbitration6

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

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

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