JL
Joonho Lee
BABCOCK & BROWN SECURITIES LLC
Cos Cob, CT 06807-2745
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CRD#: 2900218
JL
Professional summary
Joonho Lee is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
BURNHAM STERLING & COMPANY LLC FINANCIAL ADVISORY AND CONSULTING SERVICES TO THE AVIATION INDUSTRY. NOT INVESTMENT RELATED. 29 RIVER ROAD. STE. 102, COS COB, CT 06807, USA. VICE PRESIDENT JANUARY 2013 APPROX. 160 HRS/MONTH. APPROX. 130 HRS/MONTH DURING TRADING HOURS. RESPONSIBILITIES: 1) DEAL ORIGINATION, 2) NEGOTIATIONS WITH CLIENTS, 3) RECRUITMENT Burnham Sterling Asset Management LLC Nature: Registered Investment Advisor, Investment Related Address: 29 River Road Suite 102, Cos Cob, CT 06807, USA. Vice President since January 1, 2013. Approximately 160 hours per month. Approximately 130 hours per month during trading hours. SAFFA Fund I GP, LLC 29 River Road, Suite 102 Cos Cob CT 06807 General partner of a BSAM managed fund. Investment Related Duties include Authorized Signatory since December 2023 Hours a month = ~1 During trading hours = ~1 Crysalis Biosciences, Inc. 231 Monsanto Ave, Sauget, IL 62201 Bioprocess technology demonstration, manufacturing, and licensing company Board Director since April 2024 Hours per month = 2 During trading hours = 2
CRS (Client Relationship Summary) - BD
Click below to view Joonho Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 20, 2014 - Present
BABCOCK & BROWN SECURITIES LLC
Office #1: 29 River Road Suite 102, Cos Cob, CT 06807-2745Office #2: 29 River Rd. Suite 102, Cos Cob, CT 06807BD
CRD#: 169440
Cos Cob, CT
Past
January 8, 2018 - March 17, 2025
BURNHAM STERLING ASSET MANAGEMENT LLC
RIA
CRD#: 283907
COS COB, CT
Past
October 5, 2016 - December 31, 2017
BURNHAM STERLING ASSET MANAGEMENT LLC
RIA
CRD#: 283907
COS COB, CT
Past
November 3, 2008 - January 31, 2012
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
NEW YORK, NY
Past
November 3, 2008 - January 31, 2012
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
NEW YORK, NY
Past
September 26, 2008 - November 3, 2008
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
July 27, 2005 - November 3, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
RIA
CRD#: 113359
NEW YORK, NY
Past
July 14, 2005 - September 26, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2014)
RR
California(9/5/2014)
RR
Colorado(9/15/2014)
RR
Connecticut(8/22/2014)
RR
Georgia(9/5/2014)
RR
Iowa(9/5/2014)
RR
Maryland(9/3/2014)
RR
Massachusetts(9/5/2014)
RR
Minnesota(9/8/2014)
RR
Nebraska(9/5/2014)
RR
New Jersey(9/9/2014)
RR
New York(9/8/2014)
RR
Ohio(8/26/2014)
RR
Texas(9/5/2014)
RR
Utah(9/9/2014)
RR
Wisconsin(9/12/2014)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 4/11/2014
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
B&
BABCOCK & BROWN SECURITIES LLC
BABCOCK & BROWN SECURITIES LLC | BURNHAM STERLING SECURITIES LLC
CRD#: 169440 / SEC#: , 8-69368
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
29 River Road Suite 102, Cos Cob, CT 06807-2745
Mailing Address
29 River Road Suite 102, Cos Cob, CT 06807-2745
Phone number
(203) 862-4857
Established
Connecticut since 09/16/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (16 States and Territories)
Documents
Red Flags
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