Individual Firm
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SEONGSOO LEE
Michael Lee
CRD#: 4544862
IA
B
NEW INSIGHT WEALTH ADVISORSCRD#: 318083 111 DEERWOOD ROAD
SUITE 250
SAN RAMON, CA 94583
SUITE 250
SAN RAMON, CA 94583
View By:
3/24/2020
Customer Dispute
Settled
10/6/2015
Customer Dispute
Settled
1/29/2007
Customer Dispute
Settled
State Registrations
IA
California 1/12/2022
IA
Texas 1/7/2022
IA
Registered with this firm since 1/7/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/19/2002 - 01/11/2022 | SAN RAMON, CA | |
B | 07/31/2002 - 01/11/2022 | SAN RAMON, CA | |
B | 07/31/2002 - 07/03/2006 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.