Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Smith has been in the industry since 2008 and is currently registered with Pershing LLC in Jersey City, NJ. Lee has taken the Series 7, Series 99TO, Series 52TO, and SIE exams. Lee was previously employed by J.P. Morgan Securities LLC and J.P. Morgan Clearing Corp.
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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2
NJ
10/05/2022 - Present
Pershing LLC (JERSEY CITY NJ)
NJ
10/01/2016 - 09/03/2022
J.P. MORGAN SECURITIES LLC (Jersey City NJ)
NY
12/17/2007 - 10/01/2016
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
NY
12/17/2007 - 12/31/2008
J.P.MORGAN SECURITIES INC. (BROOKLYN NY)
BC
Issued 07/31/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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