Judy T. Lee
Professional summary
Judy Tingchi Lee, who also goes by Judy Tingchi Lee, Judy Tingchi Wong Lee, Judy Tingchi Wong, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California and NATIONAL FINANCIAL SERVICES LLC located in San Francisco, California.
Judy is registered as a RR (Registered Representative) and started their career in finance in 2012. Judy has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 99 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Judy Tingchi Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2016 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111February 7, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111October 8, 2012 - December 21, 2012
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
October 8, 2012 - November 30, 2015
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/24/2017)
(1/24/2017)
(1/24/2017)
(1/24/2017)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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