Seung Hwan 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.
Seung Hwan Lee, who also goes by Sean Lee, was a registered financial professional .
Seung Hwan is a previously registered financial professional and started their career in finance in 2000. Seung Hwan had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2009 - April 27, 2012
ACE DIVERSIFIED CAPITAL, INC.
March 8, 2005 - September 28, 2009
ETECH SECURITIES, INC.
March 26, 2003 - March 2, 2005
SH INVESTMENT & SECURITIES
February 26, 2003 - March 25, 2003
HANMI SECURITIES, INC.
September 27, 2000 - December 16, 2002
DAEHAN SECURITIES, 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
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
