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JL

Jung Min Lee

TENEO SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 7899226
JL

Professional summary

Jung Min Lee, who also goes by Nicholas Lee, is a registered financial professional currently at TENEO SECURITIES LLC located in New York, New York.

Jung Min is registered as a RR (Registered Representative) and started their career in finance in 2024. Jung Min has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Lee

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 Jung Min 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

July 31, 2024 - Present

TENEO SECURITIES LLC

Office #1: 280 Park Avenue 4th Floor, New York, NY 10017
BD
CRD#: 151256
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
New York
(9/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/31/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/11/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TENEO SECURITIES LLC
MARBLE NORTH SECURITIES LLC | VERAPOINT SECURITIES LLC | TENEO SECURITIES LLC

CRD#: 151256 / SEC#: , 8-68354

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

Main Address
280 Park Avenue 4th Floor, New York, NY 10017
Mailing Address
280 Park Avenue 4th Floor, New York, NY 10017
Phone number
(212) 886-1600
Established
Delaware since 07/17/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TENEO CAPITAL CORPORATIONSOLE MEMBER
BOGUSLASKI, CHARLES ROBERTCHIEF OFFICER4845807
HALLERAN, KRISTIN MARIECHIEF COMPLIANCE OFFICER4726430
POLKOWITZ, GARY CRAIGMEMBER OF BOARD OF DIRECTORS2866014
ROTHENBERG, SHARI PFINOP/PFO/POO6590875
SULLIVAN, STEVEN MICHAELMEMBER OF BOARD OF DIRECTORS5162216

Disclosures

Regulatory Event1

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

TENEO SECURITIES LLC

CRD#: 151256New York, NY 10017

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