Franklin J. 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.
Franklin Jonathan Lee, who also goes by Frank Jonathan Lee, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1968. Franklin had worked at 8 firms and has passed the Series 65, Series 63, Series 15, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2003 - February 14, 2014
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - February 14, 2014
CREDIT SUISSE SECURITIES (USA) LLC
July 25, 2002 - January 17, 2003
PERSHING LLC
May 27, 1980 - January 17, 2003
PERSHING LLC
January 14, 1980 - June 27, 1980
MULLER AND COMPANY, INC.
January 10, 1975 - February 4, 1975
MOORE & SCHLEY, CAMERON & CO.
January 10, 1975 - January 14, 1980
NEUBERGER SECURITIES CORP.
May 4, 1973 - January 10, 1975
HEROLD KASTOR & GERALD INC
October 14, 1971 - June 16, 1973
E. F. HUTTON & COMPANY INC
August 2, 1968 - January 6, 1972
SCHEINMAN HOCHSTIN & TROTTA
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 15
Date: 6/13/1985
Foreign Currency Options ExaminationPC
Date: 7/22/1980
AMEX Put and Call ExamSeries 000
Date: 7/29/1968
General Securities Principal ExaminationSeries 1
Date: 7/16/1968
Registered Representative ExaminationCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
