Johanna H. 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.
Johanna Hl Lee, who also goes by Johanna Huie Ling Lee, Johanna Lee, Johanna H.l. Lee, Linger Lee, Lynn Lee, Huie Ling Yee, was a registered financial professional .
Johanna is a previously registered financial professional and started their career in finance in 1996. Johanna had worked at 6 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2019 - November 2, 2023
FORTUNE SECURITIES, INC.
August 25, 2004 - August 15, 2005
METROPOLITAN LIFE INSURANCE COMPANY
August 25, 2004 - August 15, 2005
MSI FINANCIAL SERVICES, INC.
November 4, 2003 - June 11, 2004
MONY SECURITIES CORPORATION
February 15, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 15, 1996 - January 17, 2003
EQUITABLE ADVISORS, 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
Series 6TO
Date: 6/27/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FORTUNE SECURITIES, INC.
CRD#: 40821 / SEC#: , 8-49208
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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