Joseph J. Mclee
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.
Joseph J Mclee, who also goes by Jay J Mclee, Jay Mclee, Joseph John Mclee, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 14A, Series 14, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2014 - August 5, 2016
GUGGENHEIM SECURITIES, LLC
March 28, 2011 - July 25, 2012
BNP PARIBAS PRIME BROKERAGE, INC.
February 23, 2011 - July 25, 2012
BNP PARIBAS SECURITIES CORP.
November 12, 2008 - October 12, 2010
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
August 19, 2008 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2004 - April 16, 2007
MORGAN STANLEY & CO. LLC
February 5, 2004 - August 20, 2004
REDI GLOBAL TECHNOLOGIES LLC
March 22, 1999 - August 20, 2004
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 12, 1998 - March 17, 1999
ALEXANDER, WESCOTT, & CO., INC.
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 55
Date: 9/3/1999
Limited Representative-Equity Trader ExamSeries 14A
Date: 1/28/2004
Compliance Official Specialist ExamCurrent Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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