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 E Lee, CFP®, who also goes by John E Lee, John Edward Lee, John Lee, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
August 31, 2016 - March 28, 2018
ASSET MANAGEMENT ADVISORS INC
December 12, 2011 - February 5, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2011 - February 5, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2010 - December 31, 2010
ALLSTATE FINANCIAL SERVICES, LLC
July 6, 2009 - June 3, 2010
VALIC FINANCIAL ADVISORS, INC.
July 6, 2009 - June 3, 2010
VALIC FINANCIAL ADVISORS, INC.
October 26, 2005 - May 27, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 26, 2005 - May 27, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 6, 2005 - August 1, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - August 1, 2005
CHASE INVESTMENT SERVICES CORP.
June 2, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 26, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 15, 2004 - January 24, 2005
MML INVESTORS SERVICES, LLC
June 11, 2004 - January 24, 2005
MML INVESTORS SERVICES, LLC
July 4, 2003 - June 16, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 4, 2003 - June 16, 2004
OSAIC FA, INC.
January 12, 2000 - January 9, 2002
EDWARD JONES
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
Current Firm
ASSET MANAGEMENT ADVISORS INC
CRD#: 105921 / SEC#: 801-28717
Contact information
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.
