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Sunhee Lee

LPl Financial LLC

Englewood, NJ

CRD 5075366

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-11-22
  • NJ RA
    APPROVED
    Since 2017-11-22

Branch Locations

Englewood, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 12/2005 10/2017
Lpl Financial Llc Leonia NJ 10/2017 Present
  • 12/2005 → 10/2017
    Axa Advisors, Llc
    New York, NY
  • 10/2017 → Present
    Lpl Financial Llc
    Leonia, NJ
Previous Registrations
Other Businesses

1)10/31/17- Genesis Wealth Management, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Leonia, NJ - 100%

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-02-28
S63 Uniform Securities Agent State Law Examination 2006-03-25
  • S65 Uniform Investment Adviser Law Examination
    2017-02-28
  • S63 Uniform Securities Agent State Law Examination
    2006-03-25

View on SEC IAPD

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