Yoon Lee
Professional Summary
Yoon Lee, who also goes by Yoon Suk Lee, was a registered financial advisor. Yoon was a previously registered financial professional and started their career in finance 2004 - 2021. Yoon had worked at 4 firms and has passed the Series 63, Series 52TO, Series 50, SIE, Series 79, Series 52, Series 7 and Series 54 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Yoon Suk Lee
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
22 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.
Contact Information
Main Address
41 South High St, Columbus, OH 43287Mailing Address
41 South High St, Columbus, OH 43287Phone Number
(312) 443-1560Established
Delaware since 02/08/1957Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (30 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | — |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| HOHENSTEIN, THOMAS | CFO | 3123815 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Mar 2020About the Series 52TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Jul 2018About the Series 50 examSeries 79 — Investment Banking Registered Representative Examination
Passed Nov 2013About the Series 79 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed May 2019About the Series 54 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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