Jung Won Lee
Professional Summary
Jung Won Lee is a registered financial advisor currently at CONNING INVESTMENT PRODUCTS, INC. located in Hartford, Connecticut. Jung is registered as a RR (Registered Representative) and started their career in finance in 2007. Jung has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.
Contact Information
Main Address
One Financial Plaza 755 Main Street, Hartford, CT 06103Mailing Address
One Financial Plaza, Hartford, CT 06103-2627Phone Number
(860) 299-2000Established
Delaware since 02/13/2002Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
8SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
FINRA licenses (12 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNING & COMPANY | SHAREHOLDER | — |
| BRADFORD, LINWOOD EARLE JR | CHAIR OF THE BOARD | 4179446 |
| DALY, MATTHEW KENNETH | PRESIDENT & BOARD MEMBER | 2638773 |
| GEORGE, CHRISTOPHER M | FINOP | 6084415 |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | 2791334 |
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1991468 |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 5899872 |
Regulatory Assets Under Management
Total Number of Accounts
9AUM (Assets Under Management)
$572,024,783Similar Advisors
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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.
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Primary Firm SEC Registration
CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.
State Registrations and Notice Filings
(12/15/2011)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2012About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jung Won Lee's CRS (Customer Relationship Summary).
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