John M. Lee
Professional summary
John M Lee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, John had worked at 4 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., EQUITABLE ADVISORS LLC, NYLIFE SECURITIES LLC, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2005 - December 6, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 9, 2005 - December 6, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 2, 2005 - December 13, 2005
EQUITABLE ADVISORS, LLC
March 2, 2005 - December 13, 2005
EQUITABLE ADVISORS, LLC
June 22, 2004 - February 18, 2005
NYLIFE SECURITIES LLC
July 29, 2002 - November 6, 2003
EQUITABLE ADVISORS, LLC
October 15, 2001 - November 6, 2003
EQUITABLE ADVISORS, LLC
April 24, 2000 - June 8, 2001
CITIGROUP GLOBAL MARKETS INC.
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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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