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Jing yuan Lee

Northwestern Mutual Investment Services, LLC

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About Jing yuan Lee

Jing Yuan Lee is an investment advisor representative and registered with Northwestern Mutual Investment Services, LLC since July 2012. Jing Yuan Lee's main office is located in Campbell, CA. Jing Yuan Lee has been working in the financial services industry since January 2007. Jing Yuan Lee has passed the Series 6, Series 7, Series 63, and Series 65 exams. Jing Yuan Lee also holds a Series SIE certification. Jing Yuan Lee is licensed to sell securities in California, Colorado, Florida, Hawaii, Illinois, Nevada, New York, Pennsylvania, Texas, Virginia, and Washington. Jing Yuan Lee is registered with FINRA and the state of California. Jing Yuan Lee is also a registered investment advisor in California.

Firm Information

Jing yuan Lee is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1919 S Bascom Ave

Campbell, CA 95008

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Jing yuan Lee’s Registration & Firm History

CA

07/24/2012 - Present

Northwestern Mutual Investment Services, LLC (Campbell CA)

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Licenses & Designations

IA

Issued 7/16/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 3/30/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/10/2014

Series 7 - General Securities Representative Examination

BC

Issued 1/8/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jing yuan Lee.
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