Jung Wook Lee

D. BORAL CAPITAL

New York, NY 10022

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CRD#: 5678878

Professional summary

Jung Wook Lee, who also goes by David Lee, Jungwook Lee, is a registered financial professional currently at D. BORAL CAPITAL located in New York, New York.

Jung Wook is registered as a RR (Registered Representative) and started their career in finance in 2011. Jung Wook has worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Lee | Jungwook 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 Jung Wook Lee's CRS (Customer Relationship Summary).

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

November 2, 2023 - Present

D. BORAL CAPITAL

Office #1: 590 Madison Ave. 39th Floor, New York, NY 10022

CRD#: 103792

New York, NY

Past

June 30, 2021 - December 16, 2022

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

February 8, 2019 - June 9, 2021

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696

NEW YORK, NY

Past

September 24, 2014 - March 9, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 20, 2011 - July 2, 2013

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

State Registrations and Notice Filings

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

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

New York
(11/2/2023)

Exams

State Security Law Exam

Series 63

Date: 10/24/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/22/2025

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 2/8/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 3/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

D. BORAL CAPITAL

BENCHMARK INVESTMENTS, INC. | EF HUTTON LLC | D. BORAL CAPITAL LLC | D. BORAL CAPITAL | BENCHMARK INVESTMENTS, LLC

CRD#: 103792 / SEC#: , 8-52280

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

590 Madison Ave 39th Floor, New York, NY 10022

Mailing Address

590 Madison Ave 39th Floor, New York, NY 10022

Phone number

(212) 570-5150

Established

Nevada since 05/28/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DBCH PARTNERS LLC	SHAREHOLDER
AGRAWAL, SHARAD	CHIEF TECHNOLOGY OFFICER	5115964
BORAL, DAVID WALTER	CHIEF EXECUTIVE OFFICER	5340753
MERLIN, JARED	CHIEF COMPLIANCE OFFICER	4222427
WHALEN, RYAN JAMES	GENERAL COUNSEL	7457347
WIEDERLIGHT, PHILIP	CHIEF OPERATING OFFICER	5856024
WILDER, BRADLEY STEPHEN	FINOP	7497819

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Jung Wook Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OPPENHEIMER & CO. INC.

SANTANDER US CAPITAL MARKETS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/2019

Series 7TO

Date: 8/22/2025

Series 79TO

Date: 2/8/2019

SIE

Date: 3/9/2016

Series 7

Date: 7/19/2011

FINRA

Current Firm

D. BORAL CAPITAL

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

D. BORAL CAPITAL

TRUST BUT VERIFY

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