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HL

Han Lee

CHATHAM FINANCIAL SECURITIES LLC
New York, NY 10001
Some features on this profile are disabled
CRD#: 6943193
HL

Professional summary

Han Lee, who also goes by Lee Han, is a registered financial professional currently at CHATHAM FINANCIAL SECURITIES LLC located in New York, New York.

Han is registered as a RR (Registered Representative) and started their career in finance in 2018. Han has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Han

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Han Lee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 28, 2021 - Present

CHATHAM FINANCIAL SECURITIES LLC

Office #1: 515 West 33rd Street 67th Floor, New York, NY 10001
BD
CRD#: 118818
New York, NY
Past

June 28, 2018 - March 16, 2021

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/28/2021)
RR
New York
(4/28/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/18/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CHATHAM FINANCIAL SECURITIES LLC
CHATHAM FINANCIAL SECURITIES LLC | HOWLAND SECURITIES LLC | ENABLE CAPITAL, LLC | EA MARKETS SECURITIES LLC

CRD#: 118818 / SEC#: , 8-53722

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
515 West 33rd Street 67th Floor, New York, NY 10001
Mailing Address
515 West 33rd Street 67th Floor, New York, NY 10001
Phone number
(646) 470-6587
Established
California since 03/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHATHAM FINANCIAL EA HOLDINGS, LLCSOLE MEMBER
DANIELS, REUBEN SKYCEO2493301
HOBAN, JOSEPH MICHAELCFO & CCO5109631

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.

Company Information

CHATHAM FINANCIAL SECURITIES LLC

CRD#: 118818New York, NY 10001

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