Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Henry Lee is a financial advisor with over 20 years of experience in the industry. John currently works at Forge Securities LLC, a firm located in San Francisco, CA. John previously worked at Lincoln Financial Advisors Corporation, Liberty Group, LLC, Loring Ward Securities Inc., Assetmark Capital Corporation, Commonwealth Financial Network and TD Waterhouse Investor Services, Inc. John is registered with FINRA, the Securities Industry and Financial Markets Association, and has a Series 7, Series 63, Series 24 and Series 99TO licenses. John is also licensed to provide investment advice in the state of California and New York.
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.
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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CA
11/05/2019 - Present
Forge Securities LLC (SAN FRANCISCO CA)
CA
10/19/2018 - 08/21/2019
LINCOLN FINANCIAL ADVISORS CORPORATION (SAN RAMON CA)
CA
05/20/2015 - 10/09/2017
LIBERTY GROUP, LLC (OAKLAND CA)
CA
04/10/2007 - 04/30/2015
LORING WARD SECURITIES INC. (San Jose CA)
CA
05/31/2005 - 04/04/2007
ASSETMARK CAPITAL CORPORATION (PLEASANT HILL CA)
MA
04/26/2004 - 04/19/2005
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
NE
05/15/2001 - 03/26/2004
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IA
Issued 03/22/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/09/2017
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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