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SL

Sylvia Lee

Some features on this profile are disabled
CRD#: 3125114
SL

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.

Sylvia Lee, who also goes by Sylvia Eunmi Lee, was a registered financial professional .

Sylvia is a previously registered financial professional and started their career in finance in 2001. Sylvia had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sylvia Eunmi 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 23, 2019 - August 14, 2023

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

May 10, 2019 - November 20, 2025

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

October 23, 2015 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 8, 2013 - August 5, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 27, 2010 - August 18, 2010

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

November 16, 2004 - November 19, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

June 20, 2001 - December 19, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2013
General Securities Representative Examination

Current Firm

ML
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
MERRILL LYNCH PROFESSIONAL CLEARING CORP. | WAGNER STOTT CLEARING CORP.

CRD#: 16139 / SEC#: , 8-33359

BD
Terminated by SEC on 10/12/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/19/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BOFA SECURITIES, INC.PARENT283942
ALAM, FARUQE FARUQECHIEF FINANCIAL OFFICER2394838
GUARDINO, JOSEPH ANTHONY JRDIRECTOR, CHIEF OPERATIONS OFFICER & FINOP2907957
WALSH, KEVINCHIEF COMPLIANCE OFFICER4062276

Disclosures

Regulatory Event55
Arbitration1

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.

Company Information

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

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