John Soon Lee
Professional Summary
John Soon Lee, who also goes by Johnny Lee, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1997 - 2000. John had worked at 1 firm and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Soon Lee, Johnny Lee
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.
Contact Information
Main Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Mailing Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Phone Number
(310) 966-1444Established
Delaware since 06/16/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | — |
| MCNICOLL, PATRICE | CO-PRESIDENT | 3199758 |
| MOORE, ANDREW THOMAS | CHIEF EXECUTIVE OFFICER | 4574997 |
| NARDINI, JOSEPH ROBERT | CO-PRESIDENT | 2387386 |
| PIGOTT, FRANK | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 8052475 |
| RILEY, BRYANT RICHARD | EXECUTIVE CHAIRMAN | 1702453 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
Disclosures
Regulatory Event
12Civil Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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