Robert Lee
Professional summary
Robert Lee, who also goes by Robert J Lee, Robert J. Lee, Robert Lee, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in Jersey City, New Jersey.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2023 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: Harborside Financial Center 2 200 Hudson Street, Suite 402, Jersey City, NJ 07311November 12, 2020 - February 23, 2022
RBC CAPITAL MARKETS, LLC
January 14, 2016 - November 2, 2020
BNP PARIBAS SECURITIES CORP.
May 1, 2015 - January 19, 2016
SANFORD C. BERNSTEIN & CO., LLC
June 20, 2012 - October 4, 2013
UBS SECURITIES LLC
June 14, 2010 - October 4, 2013
UBS FINANCIAL SERVICES INC.
May 2, 2008 - May 25, 2010
J.P. MORGAN SECURITIES LLC
January 3, 2008 - March 13, 2008
LIGHTSPEED TRADING, LLC
October 31, 2005 - December 31, 2005
E*TRADE SECURITIES LLC
October 31, 2005 - December 31, 2005
E*TRADE CLEARING LLC
October 31, 2005 - March 13, 2008
LIGHTSPEED PROFESSIONAL TRADING LLC
December 17, 2004 - October 26, 2005
GENESIS SECURITIES, LLC
February 25, 2004 - November 16, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/13/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/28/2006
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Current Firm
SMBC NIKKO SECURITIES AMERICA, INC.
CRD#: 28602 / SEC#: , 8-43852
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC AMERICAS HOLDINGS, INC. | SHAREHOLDER | |
| ASHBY, SCOTT ALLEN | PRESIDENT, CEO, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 2883181 |
| DAVISON, RICHARD PATRICK | DIRECTOR | 4890514 |
| EISENBERG, RICHARD ALLAN | DEPUTY PRESIDENT, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 3118461 |
| ISHIKAWA, TSUKASA | DEPUTY PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 7948966 |
| KAWARA, AKIHIRO | DEPUTY HEAD OF GLOBAL MARKETS, AMERICAS, DIRECTOR, CHAIRPERSON OF THE BOARD | 7471377 |
| KEE, DAVID | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6238539 |
| KIM, SANGJOON | CHIEF RISK OFFICER, EXECUTIVE COMMITTEE MEMBER | 2545295 |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER | 2795963 |
| NONAKA, MASAHITO | HEAD OF GLOBAL MARKETS, AMERICAS, DEPUTY PRESIDENT, DIRECTOR, EXECUTIVE COMMITTEE MEMBER | 7221513 |
| OISHI, SHUMPEI | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6100774 |
| PIETRO, BRIAN | FINOP, PRINCIPAL OPERATIONS OFFICER, DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| TUN, NATHAN | PRINCIPAL FINANCIAL OFFICER | 5551828 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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