Wonmyoung 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.
Wonmyoung Lee, who also goes by Nicholas Lee, was a registered financial professional .
Wonmyoung is a previously registered financial professional and started their career in finance in 2009. Wonmyoung had worked at 3 firms and has passed the Series 66, SIE 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
June 10, 2013 - March 1, 2016
ACE DIVERSIFIED CAPITAL, INC.
May 11, 2012 - February 26, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
May 11, 2012 - February 26, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
December 7, 2009 - September 30, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 2, 2009 - September 30, 2011
CONCOURSE FINANCIAL GROUP 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
Current Firm
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
