Hyunjoo 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.
Hyunjoo Lee, who also goes by Hyun Joo Lee, Hyunjoo Lee, Julie Lee, was a registered financial professional .
Hyunjoo is a previously registered financial professional and started their career in finance in 2019. Hyunjoo had worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2024 - July 1, 2025
ETC BROKERAGE SERVICES, LLC
September 29, 2023 - March 7, 2024
J.P. MORGAN SECURITIES LLC
June 7, 2019 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 10/24/2024
Operations Professional ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
