John J. 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.
John James Lee, who also goes by John J Lee, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2011. John had worked at 6 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, SIE, Series 7 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
August 1, 2024 - October 10, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 28, 2017 - December 7, 2017
J.P. MORGAN SECURITIES LLC
April 28, 2017 - December 7, 2017
J.P. MORGAN SECURITIES LLC
February 1, 2016 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2016 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2014 - January 26, 2016
INVESTMENT PROFESSIONALS, INC.
December 1, 2014 - January 26, 2016
INVESTMENT PROFESSIONALS, INC.
February 26, 2014 - November 28, 2014
EDWARD JONES
February 12, 2014 - November 28, 2014
EDWARD JONES
June 5, 2012 - December 26, 2013
PRINCIPAL SECURITIES, INC.
October 26, 2011 - December 26, 2013
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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: 8/1/2024
General Securities Representative ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
