JL
Jungtsan J. Lee
TRANSAMERICA FINANCIAL ADVISORS
WEST COVINA, CA 91790
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CRD#: 2262862
JL
Professional summary
Jungtsan James Lee, who also goes by James Lee, Jungtsan Lee, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in West Covina, California.
Jungtsan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jungtsan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Lee | Jungtsan 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.
"Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc."
Kingho Managers Inc./ 0200-Present/ Investment Related: No / 46 Havenwood Irvine, CA 92614 / President / This is a pass thorough entity to report tax / Hrs Work Monthly: 50% / Sec Trading Hrs: NA / Report tax return and pay bills.
Star Max Universal/ 11.1.2017/ Realtor/ 10681 E Foothill Blvd Ste 210 Rancho Cucmonga CA 91730/ Independent Realtor to buy or sell real estate/ 10HR/MTH/ Non Investment Related/ Approved with Restrictions
CRS (Client Relationship Summary) - RIA
Click below to view Jungtsan James Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jungtsan James 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®
NoneExperience
Current
May 24, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1000 Lakes Drive Suite 415, West Covina, CA 91790RIA
BD
CRD#: 16164
WEST COVINA, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1000 Lakes Drive Suite 415, West Covina, CA 91790RIA
BD
CRD#: 16164
WEST COVINA, CA
Past
September 11, 2006 - February 25, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
IRVINE, CA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
IRVINE, CA
Past
January 12, 1996 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
February 4, 1994 - December 11, 1995
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
October 7, 1992 - December 23, 1993
LEO GROUP, INC.
BD
CRD#: 29340
NEWPORT BEACH, CA
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/6/2012)
IAR
California(5/24/2017)
RR
Texas(5/23/2025)
IAR
Texas(5/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/20/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
