HL
Helen Lee
FORESIDE FUNDS DISTRIBUTORS LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 3230975
HL
Professional summary
Helen Lee, who also goes by Helen Sangsoon Lee, is a registered financial professional currently at FORESIDE FUNDS DISTRIBUTORS LLC located in San Francisco, California.
Helen is registered as a RR (Registered Representative) and started their career in finance in 1999. Helen has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Helen Sangsoon 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 Helen 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
September 11, 2007 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 4 Embarcadero Center, Suite 550, San Francisco, CA 94111BD
CRD#: 31334
San Francisco, CA
Past
February 2, 2005 - May 29, 2007
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
May 20, 2004 - January 21, 2005
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
December 22, 1999 - July 26, 2000
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
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(7/29/2009)
RR
Alaska(7/29/2009)
RR
Arizona(7/29/2009)
RR
Arkansas(7/29/2009)
RR
California(9/11/2007)
RR
Colorado(7/29/2009)
RR
Connecticut(7/29/2009)
RR
Delaware(7/29/2009)
RR
District of Columbia(7/29/2009)
RR
Florida(5/22/2009)
RR
Georgia(7/29/2009)
RR
Hawaii(7/29/2009)
RR
Idaho(7/29/2009)
RR
Illinois(5/22/2009)
RR
Indiana(7/29/2009)
RR
Iowa(7/29/2009)
RR
Kansas(7/29/2009)
RR
Kentucky(7/29/2009)
RR
Louisiana(7/29/2009)
RR
Maine(7/29/2009)
RR
Maryland(7/29/2009)
RR
Massachusetts(7/29/2009)
RR
Michigan(7/29/2009)
RR
Minnesota(7/29/2009)
RR
Mississippi(7/29/2009)
RR
Missouri(7/29/2009)
RR
Montana(7/29/2009)
RR
Nebraska(7/29/2009)
RR
Nevada(7/29/2009)
RR
New Hampshire(7/29/2009)
RR
New Jersey(7/29/2009)
RR
New Mexico(7/29/2009)
RR
New York(7/29/2009)
RR
North Carolina(7/29/2009)
RR
North Dakota(7/29/2009)
RR
Ohio(7/30/2009)
RR
Oklahoma(7/29/2009)
RR
Oregon(7/29/2009)
RR
Pennsylvania(7/29/2009)
RR
Rhode Island(7/29/2009)
RR
South Carolina(7/29/2009)
RR
South Dakota(7/29/2009)
RR
Texas(7/29/2009)
RR
Utah(7/29/2009)
RR
Vermont(7/29/2009)
RR
Virginia(7/29/2009)
RR
Washington(7/29/2009)
RR
West Virginia(7/29/2009)
RR
Wisconsin(7/29/2009)
RR
Wyoming(7/29/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUNDS DISTRIBUTORS LLC
440 FINANCIAL DISTRIBUTORS, INC. | PFPC DISTRIBUTORS, INC. | FORESIDE FUNDS DISTRIBUTORS LLC | FIRST DATA DISTRIBUTORS, INC. | BNY MELLON DISTRIBUTORS LLC | BNY MELLON DISTRIBUTORS INC.
CRD#: 31334 / SEC#: , 8-45467
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
