Julia H. Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Julia Heeju Lee, who also goes by Hee Ju Lee, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 2005. Julia had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6TO, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2025 - March 27, 2026
INSTITUTIONAL CASH DISTRIBUTORS, LLC
May 6, 2009 - September 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2008 - September 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2006 - November 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 29, 2005 - April 17, 2006
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/30/2025
General Securities Representative ExaminationSeries 6TO
Date: 11/27/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
INSTITUTIONAL CASH DISTRIBUTORS, LLC
CRD#: 149635 / SEC#: , 8-68161
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICD INTERMEDIATE HOLDCO 2 LLC | HOLDING COMPANY | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| HAZARD, VICTOR JAMES IV | CEO / COO | 1871503 |
| KAHNEY, DOUGLAS RYAN | CHIEF COMPLIANCE OFFICER | 4903813 |
| NEWTON, THOMAS PHILLIP | MANAGING DIRECTOR | 2114728 |
| PITTINSKY, JONATHAN DAVID | CFO/FINOP | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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