James W. Lee
LEE INVESTMENT MANAGEMENT LLC
Saratoga Springs, NY 12866
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CRD#: 1856731
Professional summary
James Won Lee, CFP® is a registered financial advisor currently at LEE INVESTMENT MANAGEMENT LLC located in Saratoga Springs, New York and CONCURRENT INVESTMENT ADVISORS, LLC located in Saratoga Springs, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 62 exams.
Biography
James Lee is a CERTIFIED FINANCIAL PLANNER™and President of Lee Investment Management.
James started Lee Investment Management in 1998 to provide clients with independent financial planning and investment advice. He now serves the needs of individuals, families, businesses and retirement plans.
James earned his Bachelor of Arts Degree in Economics from the University of Virginia. He has taken post-baccalaureate coursework in the areas of Retirement Planning, Investments, Insurance, Employee Benefits, Tax Planning and Estate Planning.
James believes strongly in the value of the financial planning process and has given back to the profession by actively participating in the activities of the Financial Planning Association. James currently serves on the board of directors of the Financial Planning Association of Northeastern New York as its Advocacy Chair as well as on the Financial Planning Association's National Advocacy Committee.
In addition to his work with the FPA, James has volunteered for a number of charities and boards. He currently serves on the Board of Directors of Saratoga Arts. James is also the Administrator of the Town of Greenfield's NY’s Economic Development Revolving Loan Fund. He has previously served on Greenfield’s Planning Board and Board of Assessment Review. James is also currently serving on the board of the Saratoga Youth Lacrosse Association and is a volunteer coach.
The Saratogian Newspaper has named James one of “Forty under 40” and a “Person Who’ll Make a Difference.” James is also a graduate of the Saratoga County Chamber of Commerce’s Leadership program.
In his spare time, James enjoys spending time with his family, playing golf, skiing and boating on beautiful Lake George.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Tax Planning
Employee and Employer Plan Ben...
Estate Planning
Education Planning
Do you have an area of expertise or specialization?
Business Owners
Hourly
Investment Advice with Ongoing...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Socially Responsible Investmen...
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
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.
Greenfield Economic Development Loan Fund; No; Greenfield, NY; Consulting; Administrator; 01/2006; 2 hrs/month; None; Administer a revolving loan fund for the Town of Greenfield. I monitor existing loans and help new applicants through the loan process. Mr. Lee serves as the 2025 Chairman of the FPA Political Action Committee. This activity accounts for 3 hours of his time per month during trading hours. Lee Wealth Management; Investment Related: Yes; 63 Putnam St, Suite 202, Saratoga Springs, NY 12866; Owner; LLC; Advisor; 10/15/2025; 160 hrs/mo; 140 trading hrs/mo; DBA under which name advisory business will be conducted. Lee Investment Management LLC; Investment Related: No; 63 Putnam St, Suite 202, Saratoga Springs NY 12866; Support Company; Owner/President; 10/1998; 0-5 hrs/mo; 0 trading hrs/mo; Support Company into which production from Advisory services will be pad and general business administration will be conducted.
CRS (Client Relationship Summary) - RIA
Click below to view James Won Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2014
Experience
Current
August 23, 2021 - Present
LEE INVESTMENT MANAGEMENT LLC
Office #1: 63 Putnam St Suite 202, Saratoga Springs, NY 12866RIA
CRD#: 120535
Saratoga Springs, NY
Current
October 14, 2025 - Present
CONCURRENT INVESTMENT ADVISORS, LLC
Office #1: 63 Putnam St. Suite 202, Saratoga Springs, NY 12866RIA
CRD#: 323135
Saratoga Springs, NY
Past
July 11, 1997 - August 17, 1998
C. L. KING & ASSOCIATES, INC.
BD
CRD#: 6183
ALBANY, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(8/23/2021)
IAR
Texas(5/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/29/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
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Contact information
Main Address
100 S. Ashley Drive Suite 830, Tampa, FL 33602
Mailing Address
Phone number
(813) 709-8800
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,278 |
| AUM (Assets Under Management) | $ 9,901,639,186 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CONCURRENT INVESTMENT ADVISORS, LLC
CRD#: 323135Saratoga Springs, NY 12866TRUST BUT VERIFY
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Contact information
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