FL
Frank D. Lee
BNP PARIBAS SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 3099981
FL
Professional summary
Frank Dongwon Lee, who also goes by Frank Dongwon Lee, Frank D Lee, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in San Francisco, California.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1998. Frank has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank Dongwon Lee | Frank D Lee
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Frank Dongwon 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
January 13, 2025 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 475 Sansome Street, Suite 1100, San Francisco, CA 94111BD
CRD#: 15794
SAN FRANCISCO, CA
Past
October 17, 2018 - October 25, 2024
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
SAN FRANCISCO, CA
Past
January 13, 2014 - September 12, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
SAN FRANCISCO, CA
Past
October 19, 2005 - March 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
October 19, 2005 - March 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
September 15, 1998 - October 29, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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(1/13/2025)
RR
Alaska(1/13/2025)
RR
Arizona(1/13/2025)
RR
Arkansas(1/13/2025)
RR
California(1/13/2025)
RR
Colorado(1/13/2025)
RR
Connecticut(1/13/2025)
RR
Delaware(1/13/2025)
RR
District of Columbia(1/13/2025)
RR
Florida(1/13/2025)
RR
Georgia(1/13/2025)
RR
Hawaii(1/13/2025)
RR
Idaho(1/13/2025)
RR
Illinois(1/13/2025)
RR
Indiana(1/13/2025)
RR
Iowa(1/13/2025)
RR
Kansas(1/13/2025)
RR
Kentucky(1/13/2025)
RR
Louisiana(1/13/2025)
RR
Maine(1/13/2025)
RR
Maryland(1/13/2025)
RR
Massachusetts(1/13/2025)
RR
Michigan(1/13/2025)
RR
Minnesota(1/13/2025)
RR
Mississippi(1/13/2025)
RR
Missouri(1/13/2025)
RR
Montana(1/13/2025)
RR
Nebraska(1/13/2025)
RR
Nevada(1/13/2025)
RR
New Hampshire(1/13/2025)
RR
New Jersey(1/13/2025)
RR
New Mexico(1/13/2025)
RR
New York(1/13/2025)
RR
North Carolina(1/13/2025)
RR
North Dakota(1/13/2025)
RR
Ohio(1/14/2025)
RR
Oklahoma(1/13/2025)
RR
Oregon(1/13/2025)
RR
Pennsylvania(1/13/2025)
RR
Puerto Rico(1/13/2025)
RR
Rhode Island(1/13/2025)
RR
South Carolina(1/13/2025)
RR
South Dakota(1/13/2025)
RR
Tennessee(1/13/2025)
RR
Texas(1/13/2025)
RR
Utah(1/13/2025)
RR
Vermont(1/13/2025)
RR
Virginia(1/13/2025)
RR
Washington(1/13/2025)
RR
West Virginia(1/13/2025)
RR
Wisconsin(1/13/2025)
RR
Wyoming(1/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/10/2014
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BP
BNP PARIBAS SECURITIES CORP.
BNP PARIBAS SECURITIES CORP. | PARIBAS CORPORATION | MST CORP.
CRD#: 15794 / SEC#: , 8-32682
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 Seventh Avenue, New York, NY 10019
Mailing Address
525 Washington Boulevard, Jersey City, NJ 07310
Phone number
(212) 841-2000
Established
Delaware since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNP PARIBAS US WHOLESALE HOLDINGS, CORP | OWNER | |
| BONNAUD, JOE-KARIM | CEO | 7551817 |
| CASTILLO, SUSANNA BEATRIZ | BOARD MEMBER & CHIEF CONDUCT AND CONTROL OFFICER | 4992387 |
| FARRELL, MICHAEL F | CHIEF FINANCIAL OFFICER, FINOP | 2562352 |
| GAO, NICHOLAS N | GENERAL COUNSEL | 5140547 |
| HALPHEN, EMMANUEL | CHIEF OPERATIONS OFFICER | 5019981 |
| HAWLEY, ROBERT WILLIAM JR | CHAIRMAN | 828024 |
| HORTOPAN, NICOLAE SERBAN | BOARD DIRECTOR | 4789377 |
| LING, PETER | BOARD DIRECTOR | 2714915 |
| NIEBLING, JOHN C | CHIEF COMPLIANCE OFFICER | 4736313 |
| PLACIDO, JOSE | BOARD DIRECTOR | 7081415 |
| RAO, PHIROZE S | BOARD DIRECTOR | 7808745 |
| XHAYET, STEPHANE PATRICK | CHIEF OPERATING OFFICER | 5955712 |
Disclosures
| Regulatory Event | 99 |
| Arbitration | 1 |
| Bond | 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.
