Joonho Lee
Professional Summary
Joonho Lee is a registered financial advisor currently at BABCOCK & BROWN SECURITIES LLC located in Cos Cob, Connecticut. Joonho is registered as a RR (Registered Representative) and started their career in finance in 2005. Joonho has worked at 7 firms and has passed the Series 65, Series 63, Series 66, Series 99TO, SIE, Series 79, Series 3, Series 7, Series 14, Series 28 and Series 24 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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
21 years in the financial services industry
Current & Past Employments
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Current Firm
BABCOCK & BROWN SECURITIES LLC | BURNHAM STERLING SECURITIES LLC
Contact Information
Main Address
29 River Road Suite 102, Cos Cob, CT 06807-2745Mailing Address
29 River Road Suite 102, Cos Cob, CT 06807-2745Phone Number
(203) 862-4857Established
Connecticut since 09/16/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(9/5/2014)
(9/5/2014)
(9/15/2014)
(8/22/2014)
(9/5/2014)
(9/5/2014)
(9/3/2014)
(9/5/2014)
(9/8/2014)
(9/5/2014)
(9/9/2014)
(9/8/2014)
(8/26/2014)
(9/5/2014)
(9/9/2014)
(9/12/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2014About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Apr 2014About the Series 28 examSRO Registrations
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Joonho Lee's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
