Steven S. 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.
Steven S Lee, who also goes by Steven Shoonyoung Lee, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2012. Steven had worked at 3 firms and has passed the Series 65, Series 63, 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
March 23, 2015 - April 4, 2023
BROOKFIELD PRIVATE ADVISORS LLC
October 7, 2013 - February 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 2013 - February 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2012 - April 26, 2013
EQUITABLE ADVISORS, 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
BROOKFIELD PRIVATE ADVISORS LLC
CRD#: 151423 / SEC#: , 8-68370
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
