CL
Charles Y. Lee
NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
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CRD#: 3151267
CL
Professional summary
Charles Young-gyu Lee, who also goes by Charles Younggyu Lee, Chuck Lee, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1998. Charles has worked at 5 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Younggyu Lee | Chuck 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 Charles Young-gyu 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 28, 2023 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1101
NEW YORK, NY
Past
September 26, 2014 - October 1, 2021
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 1, 2010 - August 19, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 7, 2007 - August 2, 2010
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
December 18, 1998 - February 8, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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(8/28/2023)
RR
Alaska(8/28/2023)
RR
Arizona(9/7/2023)
RR
Arkansas(9/5/2023)
RR
California(8/28/2023)
RR
Colorado(8/29/2023)
RR
Connecticut(8/28/2023)
RR
Delaware(8/28/2023)
RR
District of Columbia(8/29/2023)
RR
Florida(8/29/2023)
RR
Georgia(8/30/2023)
RR
Hawaii(8/29/2023)
RR
Idaho(8/28/2023)
RR
Illinois(9/1/2023)
RR
Indiana(8/28/2023)
RR
Iowa(8/28/2023)
RR
Kansas(8/28/2023)
RR
Kentucky(8/30/2023)
RR
Louisiana(8/29/2023)
RR
Maine(8/28/2023)
RR
Maryland(8/30/2023)
RR
Massachusetts(8/28/2023)
RR
Michigan(8/30/2023)
RR
Minnesota(8/28/2023)
RR
Mississippi(8/29/2023)
RR
Missouri(8/28/2023)
RR
Montana(8/28/2023)
RR
Nebraska(8/28/2023)
RR
Nevada(9/5/2023)
RR
New Hampshire(8/29/2023)
RR
New Jersey(8/28/2023)
RR
New Mexico(8/28/2023)
RR
New York(8/28/2023)
RR
North Carolina(8/28/2023)
RR
North Dakota(9/4/2023)
RR
Ohio(8/28/2023)
RR
Oklahoma(8/28/2023)
RR
Oregon(8/29/2023)
RR
Pennsylvania(8/29/2023)
RR
Rhode Island(8/30/2023)
RR
South Carolina(8/28/2023)
RR
South Dakota(8/28/2023)
RR
Tennessee(8/29/2023)
RR
Texas(8/29/2023)
RR
Utah(8/28/2023)
RR
Vermont(8/28/2023)
RR
Virginia(8/28/2023)
RR
Washington(8/28/2023)
RR
West Virginia(8/28/2023)
RR
Wisconsin(8/28/2023)
RR
Wyoming(8/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
CRD#: 1101 / SEC#: 801-72849, 8-719
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
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.
