Jimmie Y. 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.
Jimmie Young Lee, who also goes by Jimmie Y Lee, was a registered financial professional .
Jimmie is a previously registered financial professional and started their career in finance in 1997. Jimmie had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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
August 22, 2014 - December 31, 2014
ALLSTATE FINANCIAL SERVICES, LLC
July 31, 2014 - August 18, 2014
PNC WEALTH MANAGEMENT LLC
July 31, 2014 - August 18, 2014
PNC WEALTH MANAGEMENT LLC
May 31, 2013 - April 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2013 - April 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2009 - April 30, 2013
CITIGROUP GLOBAL MARKETS INC.
July 21, 2009 - April 30, 2013
CITIGROUP GLOBAL MARKETS INC.
May 23, 2008 - July 22, 2008
EQUITABLE ADVISORS, LLC
May 8, 2008 - July 22, 2008
EQUITABLE ADVISORS, LLC
July 29, 1999 - June 15, 2001
CITICORP INVESTMENT SERVICES
January 7, 1999 - October 13, 1999
FIS SECURITIES, INC.
June 11, 1998 - December 15, 1999
FLEET ENTERPRISES, INC.
August 11, 1997 - April 30, 1998
MORGAN STANLEY DW INC.
February 10, 1997 - August 13, 1997
GRUNTAL & CO., L.L.C.
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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
