Joseph H. 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.
Joseph Hyun-ho Lee was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2017. Joseph had worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2017 - February 28, 2022
THE BANK STREET GROUP L.L.C.
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 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationCurrent Firm
THE BANK STREET GROUP L.L.C.
CRD#: 116269 / SEC#: , 8-53542
Contact information
FINRA licenses (27 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANK STREET HOLDINGS LLC | HOLDING COMPANY OF MEMBERSHIP INTERESTS | |
| BECKETT, JON PETER | MANAGING DIRECTOR | 1888149 |
| BURNAT, ROBERT MARK | FINANCIAL & OPERATIONS PRINCIPAL | 1262266 |
| HENRY, JAMES HOWLAND | SENIOR MANAGING DIRECTOR/CFO | 2449629 |
| LUKAJ, RICHARD STEELE | SENIOR MANAGING DIRECTOR/CEO/CCO/AMLCO | 2555602 |
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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