Joonhyung 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.
Joonhyung Lee, who also goes by Joon Lee, was a registered financial professional .
Joonhyung is a previously registered financial professional and started their career in finance in 2021. Joonhyung had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2023 - July 2, 2024
N.A. INVESTCORP LLC
October 22, 2021 - July 2, 2024
MERCURY CAPITAL ADVISORS, 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 7TO
Date: 10/22/2021
General Securities Representative ExaminationCurrent Firm
N.A. INVESTCORP LLC
CRD#: 134162 / SEC#: , 8-66812
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTCORP INTERNATIONAL HOLDINGS, INC. | SHAREHOLDER | |
| GOLDCHAIN, SCOTT DAVID | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3276936 |
| MURPHY, BRIAN JOSEPH | SECRETARY | 1720020 |
| QASIMI, SAMI | CHIEF COMPLIANCE OFFICER | 5640450 |
| SHEA, PATRICK OFARRELL | HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL | 838154 |
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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