Kyongjin Lee has been Partner of Mainstream Capital Management since December 2022, is a control person of the firm and directly owns between 50% and 75% of it.
Mainstream Capital Management LLC is a Los Angeles, CA firm with $224M under management, 170 clients and 2 advisers in one office, as of its March 2026 filing.
Kyongjin Lee’s longest registration was 12 years at Raymond James Financial Services Advisors, Inc (2009–2021). Before joining Mainstream Capital Management in 2022, Kyongjin Lee was registered through Raymond James Financial Services Advisors, Inc and Raymond James Financial Services.
- – present · 4 yearsLos Angeles, CA · Adviser representative · Firm CRD 297145
- Raymond James Financial Services Advisors, Inc– · 12 yearsLos Angeles, CA · Adviser representative · Firm CRD 149018
- Raymond James Financial Services– · 2 yearsLos Angeles, CA · Adviser representative · Firm CRD 6694
- Wells Fargo Investments, LLC– · 5 yearsLos Angeles, CA · Adviser representative · Firm CRD 10582
Investment adviser representative registrations
Kyongjin Lee is registered as an investment adviser representative in California, since March 2022.
- CaliforniaSince 10 March 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 14 July 2023 |
| Series 7TO | General Securities Representative Examination | 14 July 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 24 March 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 June 1992 |
| Series 7 | General Securities Representative Examination | 19 June 1992 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2178866
- Firm
- Mainstream Capital Management · CRD 297145
- Role
- Partner
- Office
- 3435 WILSHIRE BLVD, 1100, Los Angeles, CA 90010
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Kyongjin Lee work?
Kyongjin Lee has been Partner of Mainstream Capital Management LLC since December 2022, and is a control person of the firm.
Is Kyongjin Lee a financial advisor?
Yes. Kyongjin Lee has a current investment-adviser registration in California, through Mainstream Capital Management since March 2022.
How many years of experience does Kyongjin Lee have?
Kyongjin Lee has 31 years in the financial industry, since March 1995, across 4 adviser firms.
What exams has Kyongjin Lee passed?
Kyongjin Lee has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and Series 7TO. The earliest, the Series 7, was passed in June 1992. FINRA credited Kyongjin Lee with the SIE, which began in October 2018.
Where did Kyongjin Lee work before Mainstream Capital Management?
Before Mainstream Capital Management, Kyongjin Lee was registered through Raymond James Financial Services Advisors, Inc, January 2009 to July 2021; Raymond James Financial Services, June 2006 to January 2009; Wells Fargo Investments, LLC, May 2001 to June 2006.
Where is Kyongjin Lee based?
Kyongjin Lee’s registered office is in Los Angeles, CA.
Is Kyongjin Lee registered with FINRA?
Yes. Kyongjin Lee has a current broker registration, under CRD 2178866.
Source: FINRA BrokerCheck
How can I verify Kyongjin Lee’s record?
Search CRD 2178866 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kyongjin Lee’s full registration record.