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Jung Lee

Managing Director, Chief Financial Officer, Board Member at Conning

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Jung Lee is Managing Director, Chief Financial Officer, Board Member of Conning, Inc., a Hartford investment adviser managing $107B. Jung Lee has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Conning

Title on Schedule A
Managing Director, Chief Financial Officer, Board Member
Control
Jung Lee is a control person of Conning.
Ownership
An individual ownership band is not available in the source record.
Tenure
Jung Lee has held the filed role since January 2011.

The firm

Conning, Inc.
Hartford, CT

Form ADV filed 30 March 2026

$107B AUM161 clients240 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 28 · 2012
  4. Passed Series 63 · 2010
  5. Passed Series 7 · 2007

Registrations and exams

Broker registration; no current adviser registration. Jung Lee has passed 5 qualifying exams.

Examinations

Series 6329 October 2010
Name
Uniform Securities Agent State Law Examination
Series 2829 June 2012
Name
Introducing Broker/Dealer Financial Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 76 April 2007
Name
General Securities Representative Examination

Individual record

Full name
Jung Won Lee
CRD
2791334
Firm
Conning, Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
conning.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Conning lists Jung Lee as its chief operating officer and chief financial officer. The biography describes his prior work in corporate finance, strategy and mergers and acquisitions. Official firm biography

Education

Common questions

Where does Jung Lee work?

Jung Lee has been Managing Director, Chief Financial Officer, Board Member of Conning, Inc. since January 2011, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Jung Lee have a current investment-adviser registration?

Jung Lee has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Jung Lee passed?

Jung Lee has passed 5 licensing exams: the Series 7, Series 63, Series 28, SIE and Series 99TO. The earliest, the Series 7, was passed in April 2007.

Source: IAPD individual record, checked 17 October 2026

Leadership at Conning

Sources

  1. IAPD individual record, CRD 2791334. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Conning, Inc., filed 30 March 2026. Title, control and ownership bands.
  3. Conning team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Jung Lee or Conning, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.