James H. Lee

STRATFI

WILMINGTON, DE 19801

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CRD#: 2156828

Professional summary

James Harold Lee, CFP®, who also goes by Jim Lee, is a registered financial advisor currently at STRATFI located in Wilmington, Delaware.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. James has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Lee

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.

SELF EMPLOYED WRITING AND PUBLIC SPEAKING (VARIABLE TIME)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harold Lee's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1995

Experience

Current

October 11, 2012 - Present

STRATFI

Office #1: 1201 N. Orange Suite 742, Wilmington, DE 19801

RIA

CRD#: 164744

WILMINGTON, DE

Past

January 1, 1998 - May 24, 2011

LAU ASSOCIATES LLC

RIA

CRD#: 105608

WILMINGTON, DE

Past

July 31, 1991 - December 31, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 31, 1991 - December 31, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

STRATFI

STRATEGIC FORESIGHT INVESTMENTS LLC | STRATFI

CRD#: 164744 / SEC#: 801-134073

RIA

Registered Investment Advisory firm - (7/31/2025 Approved)

California

Registered Investment Advisory firm - (9/3/2025 Terminated)

Delaware

Registered Investment Advisory firm - (8/4/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/4/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Delaware
(10/11/2012)

IAR

Texas
(11/15/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/6/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/30/1991

General Securities Representative Examination

Current Firm

STRATFI

STRATEGIC FORESIGHT INVESTMENTS LLC | STRATFI

CRD#: 164744 / SEC#: 801-134073

RIA

Registered Investment Advisory firm - (7/31/2025 Approved)

California

Registered Investment Advisory firm - (9/3/2025 Terminated)

Delaware

Registered Investment Advisory firm - (8/4/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/4/2025 Terminated)

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Contact information

Main Address

1201 N. Orange Suite 742, Wilmington, DE 19801

Mailing Address

Phone number

(302) 884-6742

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATFI DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (7/1/2025)

Regulatory assets under management

Total Number of Accounts	275
AUM (Assets Under Management)	$ 104,531,113

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.

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James H. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harold Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATFI

LAU ASSOCIATES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

STRATFI

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/1994

Series 63

Date: 8/12/1991

Series 7

Date: 7/30/1991

Current Firm

STRATFI

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATFI

TRUST BUT VERIFY

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