Jung Won J. 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.
Jung Won Julian Lee, who also goes by Julian J Lee, Julian Jung Won Lee, Jung J Lee, Jung Won J Lee, Jung Won Lee, Jung Won Uee, was a registered financial professional .
Jung Won is a previously registered financial professional and started their career in finance in 2000. Jung Won had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 6 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
April 6, 2016 - April 29, 2016
MSI FINANCIAL SERVICES, INC.
March 3, 2014 - July 7, 2015
J.P. MORGAN SECURITIES LLC
September 30, 2003 - September 1, 2004
SH INVESTMENT & SECURITIES
April 1, 2003 - October 6, 2003
IFMG SECURITIES, INC.
April 1, 2003 - October 6, 2003
IFMG SECURITIES, INC.
November 20, 2002 - April 1, 2003
INVEST FINANCIAL CORPORATION
November 20, 2002 - April 1, 2003
INVEST FINANCIAL CORPORATION
September 25, 2002 - October 8, 2002
HANMI SECURITIES, INC.
January 31, 2002 - June 18, 2002
EQUITABLE ADVISORS, LLC
November 21, 2000 - June 11, 2001
UBS FINANCIAL SERVICES 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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 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.
