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Namsoo Lee

AIP CAPITAL MARKETS
ROLLING HILLS ESTATES, CA
Some features on this profile are disabled
CRD#: 5133025
NL

Professional summary

Namsoo Lee, who also goes by Nam Soo Lee, Nam Soo Lee, is a registered financial professional currently at AIP CAPITAL MARKETS LLC located in Rolling Hills Estates, California.

Namsoo is registered as a RR (Registered Representative) and started their career in finance in 2006. Namsoo has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nam Soo Lee | Nam Soo Lee

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Namsoo Lee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 8, 2018 - Present

AIP CAPITAL MARKETS LLC

Office #2: 4 Santa Cruz, Rolling Hills Estates, CA 90274
BD
CRD#: 288932
ROLLING HILLS ESTATES, CA
Past

September 17, 2012 - July 22, 2014

LLOYDS SECURITIES

BD
CRD#: 154515
NEW YORK, NY
Past

June 15, 2006 - September 26, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/9/2020)
RR
New York
(4/10/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/10/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/14/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AIP CAPITAL MARKETS LLC
AIP CAPITAL MARKETS LLC

CRD#: 288932 / SEC#: , 8-69973

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Contact information

Main Address
4 Santa Cruz, Rolling Hills Estates, CA 90274
Mailing Address
4 Santa Cruz, Rolling Hills Estates, CA 90274
Phone number
(310) 941-5782
Established
Delaware since 05/03/2017
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ABACUS INFRASTRUCTURE PARTNERS GROUP LLCSOLE MEMBER
DA SILVA, ALINEFINOP6082324
LEE, NAMSOOMANAGING DIRECTOR, CCO5133025

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.

Company Information

AIP CAPITAL MARKETS LLC

CRD#: 288932Rolling Hills Estates, CA

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