John E. 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.
John Edward Lee was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1973. John had worked at 15 firms and has passed the Series 63, Series 1, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2008 - August 17, 2009
INSTITUTIONAL SECURITIES CORPORATION
April 27, 2007 - August 17, 2009
INSTITUTIONAL SECURITIES CORPORATION
August 12, 1997 - April 16, 2007
MOMENTUM INDEPENDENT NETWORK INC.
August 7, 1990 - August 12, 1997
CULLUM & SANDOW SECURITIES, INC.
June 30, 1987 - November 11, 1989
VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.
May 19, 1987 - June 29, 1987
USA CAPITAL
June 14, 1985 - April 14, 1987
USA SECURITIES, INC.
November 10, 1983 - April 1, 1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 24, 1979 - November 14, 1983
RAUSCHER PIERCE REFSNES, INC.
September 16, 1977 - March 22, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 18, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
February 6, 1974 - October 9, 1975
E. F. HUTTON & COMPANY INC
July 2, 1973 - March 11, 1974
DUPONT WALSTON, INCORPORATED
April 19, 1973 - July 2, 1973
DUPONT GLORE FORGAN, INC
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 1
Date: 4/12/1973
Registered Representative ExaminationSeries 12
Date: 2/1/1980
NYSE Branch Manager ExaminationCurrent Firm
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 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.
