RL
Robert M. Lee
J.P. MORGAN INSTITUTIONAL INVESTMENTS
New York, NY 10172
Some features on this profile are disabled
CRD#: 4626793
RL
Professional summary
Robert M. Lee, who also goes by Robert Michael Lee, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2003. Robert has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert Michael Lee
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert M. Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 27, 2016 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172BD
CRD#: 102920
New York, NY
Past
April 9, 2013 - January 5, 2015
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
January 1, 2007 - April 9, 2013
STANCORP INVESTMENT ADVISERS, INC.
RIA
CRD#: 110228
WAYNE, PA
Past
January 1, 2007 - April 9, 2013
STANCORP EQUITIES, INC.
BD
CRD#: 19517
WAYNE, PA
Past
October 7, 2004 - January 1, 2007
INVESMART SECURITIES, LLC
BD
CRD#: 104168
MECHANICSBURG, PA
Past
July 7, 2004 - January 1, 2007
INVESMART ADVISORS INC
RIA
CRD#: 108731
MECHANICSBURG, PA
Past
January 17, 2003 - July 8, 2004
PATRIOT ADVISORS, INC.
RIA
CRD#: 107060
EXTON, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/17/2018)
RR
Alaska(7/17/2018)
RR
Arizona(7/17/2018)
RR
Arkansas(7/17/2018)
RR
California(7/17/2018)
RR
Colorado(7/17/2018)
RR
Connecticut(7/17/2018)
RR
Delaware(7/17/2018)
RR
District of Columbia(7/17/2018)
RR
Florida(7/17/2018)
RR
Georgia(7/17/2018)
RR
Hawaii(7/17/2018)
RR
Idaho(7/17/2018)
RR
Illinois(7/17/2018)
RR
Indiana(7/17/2018)
RR
Iowa(7/17/2018)
RR
Kansas(7/17/2018)
RR
Kentucky(7/17/2018)
RR
Louisiana(7/17/2018)
RR
Maine(7/17/2018)
RR
Maryland(7/17/2018)
RR
Massachusetts(7/17/2018)
RR
Michigan(7/17/2018)
RR
Minnesota(7/17/2018)
RR
Mississippi(7/17/2018)
RR
Missouri(7/17/2018)
RR
Montana(7/17/2018)
RR
Nebraska(7/17/2018)
RR
Nevada(7/17/2018)
RR
New Hampshire(7/17/2018)
RR
New Jersey(7/17/2018)
RR
New Mexico(7/17/2018)
RR
New York(11/3/2016)
RR
North Carolina(7/17/2018)
RR
North Dakota(7/17/2018)
RR
Ohio(7/17/2018)
RR
Oklahoma(7/17/2018)
RR
Oregon(7/17/2018)
RR
Pennsylvania(11/3/2016)
RR
Puerto Rico(7/17/2018)
RR
Rhode Island(7/17/2018)
RR
South Carolina(7/17/2018)
RR
South Dakota(7/17/2018)
RR
Tennessee(7/17/2018)
RR
Texas(7/17/2018)
RR
Utah(7/17/2018)
RR
Vermont(7/17/2018)
RR
Virginia(7/17/2018)
RR
Washington(7/17/2018)
RR
West Virginia(7/17/2018)
RR
Wisconsin(7/17/2018)
RR
Wyoming(7/17/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN
CRD#: 102920 / SEC#: 801-64031, 8-52182
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
