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JL

James S. Lee

MARKETAXESS
New York, NY 10001
Some features on this profile are disabled
CRD#: 2630828
JL

Professional summary

James Spencer Lee is a registered financial professional currently at MARKETAXESS CORPORATION located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view James Spencer 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®
None

Experience

Current

February 4, 2026 - Present

MARKETAXESS CORPORATION

Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001
BD
CRD#: 44542
New York, NY
Past

September 28, 2012 - May 1, 2018

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
SAN FRANCISCO, CA
Past

June 22, 2004 - July 5, 2012

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

January 2, 1998 - March 24, 2004

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

January 1, 1996 - January 2, 1998

SUNTRUST CAPITAL MARKETS, INC.

BD
CRD#: 36888
ATLANTA, GA
Past

October 25, 1995 - October 30, 1995

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 12/12/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/14/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARKETAXESS CORPORATION
MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB | PRAGMA

CRD#: 44542 / SEC#: , 8-50727

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Hudson Yards 15th Floor, New York, NY 10001
Mailing Address
55 Hudson Yards 15th Floor, New York, NY 10001
Phone number
(212) 813-6000
Established
Delaware since 09/12/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS INC.SHAREHOLDER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER6980135
CONCANNON, CHRISTOPHER RCHIEF EXECUTIVE OFFICER2169224
PINTOFF, SCOTT ERICGENERAL COUNSEL & CHIEF LEGAL OFFICER6281715
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

Disclosures

Regulatory Event1

Red Flags

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

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Company Information

MARKETAXESS CORPORATION

CRD#: 44542New York, NY 10001

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