Frank C. 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.
Frank Chen-tong Lee, who also goes by Frank C Lee, was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 2004. Frank had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2012 - December 31, 2012
J.K. FINANCIAL SERVICES, INC.
November 25, 2009 - October 29, 2010
FORESTERS EQUITY SERVICES, INC.
November 24, 2009 - October 29, 2010
FORESTERS EQUITY SERVICES, INC.
November 13, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 13, 2006 - November 7, 2008
MSI FINANCIAL SERVICES, INC.
November 10, 2004 - February 28, 2005
PRUCO SECURITIES, 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
Exams
Current Firm
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
