Julia 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.
Julia Jisun Lee, who also goes by Julia Lee, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 2017. Julia had worked at 4 firms and has passed the Series 63, Series 57TO, 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 18, 2024 - May 5, 2026
MILLENNIUM ADVISORS, LLC
November 4, 2021 - September 28, 2023
FLOW TRADERS U.S. LLC
August 23, 2021 - September 28, 2023
FLOW TRADERS U.S. INSTITUTIONAL TRADING LLC
September 11, 2017 - August 10, 2021
RBC CAPITAL MARKETS, 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
Series 57TO
Date: 11/8/2021
Securities Trader ExamCurrent Firm
MILLENNIUM ADVISORS, LLC
CRD#: 151236 / SEC#: , 8-68349
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLENNIUM CONSOLIDATED HOLDINGS LLC | OWNER | |
| BROWN, DOUGLAS BENEDICT | CCO, AML SUPERVISOR | 5063686 |
| CHAPPELLE, DAVID WALTER | MEMBER, GENERAL PRINCIPAL | 4721739 |
| CONVERY, DANIEL K | PRINCIPAL OPERATIONS OFFICER | 6571439 |
| HEALY, MICHAEL GEORGE | CHIEF EXECUTIVE OFFICER | 3011582 |
| LEE, CHRISTY ROSS | CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 4926666 |
Disclosures
| Regulatory Event | 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.
