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JL

James B. Lee

Some features on this profile are disabled
CRD#: 1407950
JL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Bryant Lee was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1994. James had worked at 2 firms and has passed the SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 28, 2012 - January 18, 2018

CBIS FINANCIAL SERVICES, INC.

BD
CRD#: 20872
CHICAGO, IL
Past

August 9, 2000 - July 23, 2012

CBIS FINANCIAL SERVICES, INC.

BD
CRD#: 20872
CHICAGO, IL
Past

December 21, 1994 - April 20, 2000

ALIGHT FINANCIAL SOLUTIONS, LLC

BD
CRD#: 36509
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/1/1994
Financial and Operations Principal Examination

Current Firm

CF
CBIS FINANCIAL SERVICES, INC.
CBIS FINANCIAL SERVICES, INC. | RELIGIOUS SECURITIES NETWORK, INC.

CRD#: 20872 / SEC#: , 8-38515

BD
Terminated by SEC on 02/19/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/02/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHRISTIAN BROTHERS INVESTMENT SERVICES, INC.PARENT
AINSLIE, PAUL ROBINSONTREASURER2118100
LIEBERTHAL, ZACHFINANCIAL & OPERATIONS PRINCIPAL6490597
MCCROY, JEFFREY ALANDIRECTOR/PRESIDENT1292237
MILLER, DIANE KARASCHIEF COMPLIANCE OFFICER4393849
MILLER, DIANE KARASASSISTANT SECRETARY4393849

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CBIS FINANCIAL SERVICES, INC.

CRD#: 20872

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