Bruce 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.
Bruce Lee, who also goes by Bruce Jun Lee, Bruce Jun Huck Lee, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2003. Bruce had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2026 - June 12, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 5, 2023 - January 30, 2024
ROTH CAPITAL PARTNERS, LLC
June 2, 2020 - February 2, 2023
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 27, 2016 - June 3, 2020
MKM PARTNERS LLC
April 18, 2003 - August 24, 2011
WEEDEN & CO.L.P.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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
Series 57TO
Date: 8/4/2023
Securities Trader ExamSeries 55
Date: 1/20/2004
Limited Representative-Equity Trader ExamCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
