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SL

Shaun M. Lee

ISAAK BOND INVESTMENTS
Manhattan Beach, CA 90266
Some features on this profile are disabled
CRD#: 4687012
SL

Professional summary

Shaun Matthew Lee is a registered financial professional currently at ISAAK BOND INVESTMENTS, INC. located in Manhattan Beach, California.

Shaun is registered as a RR (Registered Representative) and started their career in finance in 2003. Shaun has worked at 5 firms and has passed the Series 66, Series 57TO, Series 52TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
National Insurance Corp.; Individual Producer, Life, Variable Life, & Variable Annuity; Same address as above; 2 to 20 Hrs. Per Month & During Trading Hrs.; Investment-Related

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shaun Matthew Lee's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 4, 2022 - Present

ISAAK BOND INVESTMENTS, INC.

Office #1: 1219 Morningside Drive, Suite 215, Manhattan Beach, CA 90266
BD
CRD#: 7413
Manhattan Beach, CA
Past

March 24, 2021 - April 29, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
BOSTON, MA
Past

March 18, 2021 - April 29, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOSTON, MA
Past

July 29, 2005 - April 13, 2021

WINSLOW, EVANS & CROCKER, INC.

RIA
CRD#: 29686
BOSTON, MA
Past

February 16, 2005 - April 13, 2021

WINSLOW, EVANS & CROCKER, INC.

BD
CRD#: 29686
BOSTON, MA
Past

August 21, 2003 - February 14, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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
California
(5/4/2022)
RR
Colorado
(5/4/2022)
RR
Connecticut
(5/31/2022)
RR
Massachusetts
(7/29/2022)
RR
North Carolina
(5/12/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/8/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/28/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/20/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/11/2005
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IB
ISAAK BOND INVESTMENTS, INC.
ISAAK BOND INVESTMENTS, INC.

CRD#: 7413 / SEC#: , 8-21410

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224
Mailing Address
3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224
Phone number
(303) 623-7500
Established
Colorado since 03/01/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ISAAK, DAVID JOHNPRESIDENT AND CO-CHIEF COMPLIANCE OFFICER1318894
ISAAK, JOHN THOMASPRINCIPAL1357413
ISAAK, BYRON RAYVICE PRESIDENT
LEMEK, DONALD JAMESCFO/VICE PRESIDENT OF OPERATIONS, CO-CHIEF COMPLIANCE OFFICER2620701

Disclosures

Regulatory Event8

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.

Company Information

ISAAK BOND INVESTMENTS, INC.

CRD#: 7413Manhattan Beach, CA 90266

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