Joyce 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.
Joyce Lee was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 2017. Joyce had worked at 5 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
January 10, 2020 - September 29, 2021
OPEN INVEST CO.
May 31, 2019 - December 20, 2019
MONTCALM TCR LLC
May 3, 2018 - April 1, 2019
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
January 5, 2018 - April 1, 2019
FIRST REPUBLIC SECURITIES COMPANY, LLC
September 28, 2017 - January 10, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
OPEN INVEST CO.
CRD#: 269997 / SEC#: 801-105481
Contact information
Documents
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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