AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BL

Brian R. Lee

Some features on this profile are disabled
CRD#: 2959240
BL

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.

Brian Robert Lee, who also goes by Brain Lee, Brian R Lee, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brain Lee | Brian R 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.
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

September 2, 2025 - January 8, 2026

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Palo Alto, CA
Past

September 2, 2025 - January 8, 2026

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 1, 2021 - August 18, 2025

MORGAN STANLEY

RIA
CRD#: 149777
Fresno, CA
Past

May 31, 2021 - August 18, 2025

MORGAN STANLEY

BD
CRD#: 149777
Fresno, CA
Past

July 31, 2017 - May 7, 2021

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
ARROYO GRANDE, CA
Past

July 31, 2017 - May 7, 2021

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
ARROYO GRANDE, CA
Past

March 29, 2017 - July 11, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

March 29, 2017 - July 11, 2017

SCOTTRADE, INC.

BD
CRD#: 8206
FRESNO, CA
Past

June 26, 2013 - March 13, 2017

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
FRESNO, CA
Past

June 25, 2013 - March 13, 2017

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
FRESNO, CA
Past

April 8, 2011 - June 6, 2013

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
MODESTO, CA
Past

April 8, 2011 - June 6, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
MODESTO, CA
Past

October 15, 2010 - March 18, 2011

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
HOUSTON, TX
Past

September 13, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA
CRD#: 105564
FRESNO, CA
Past

September 3, 2010 - March 18, 2011

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
FRESNO, CA
Past

November 12, 2008 - September 1, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
FRESNO, CA
Past

November 12, 2008 - September 1, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
FRESNO, CA
Past

December 20, 2006 - September 29, 2008

WADDELL & REED

RIA
CRD#: 866
FRESNO, CA
Past

December 20, 2006 - September 29, 2008

WADDELL & REED

BD
CRD#: 866
FRESNO, CA
Past

January 4, 2006 - October 27, 2006

UMB FINANCIAL SERVICES, INC.

RIA
CRD#: 17073
LEE'S SUMMIT, MO
Past

January 4, 2006 - October 27, 2006

UMB FINANCIAL SERVICES, INC.

BD
CRD#: 17073
LEE'S SUMMIT, MO
Past

May 31, 2005 - October 24, 2005

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
LEES SUMMIT, MO
Past

May 27, 2005 - October 24, 2005

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

May 11, 2004 - May 3, 2005

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
CLOVIS, CA
Past

May 10, 2004 - May 3, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

December 19, 2001 - April 26, 2004

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

June 6, 2000 - December 19, 2001

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

June 3, 1999 - September 13, 2000

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

January 1, 1998 - June 23, 1999

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, 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".
J.P. MORGAN SECURITIES LLC
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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
IAR
Series 66
Date: 5/28/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/17/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/21/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/16/2007
General Securities Principal Examination

Current Firm

J.P. MORGAN SECURITIES LLC
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
1111 Polaris Pkwy Floor 3f, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 08/12/1985
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
8,327

SEC notice filing (52 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

INSTITUTIONAL CONSULTING SERVICES (2/5/2026)
DEFINED CONTRIBUTION PLAN CONSULTING SERVICES PROGRAM BROCHURE (11/5/2025)
JPMORGAN GUIDED ANNUITY PROGRAM (11/5/2025)
J.P. MORGAN PERSONAL ADVISORS PROGRAM (11/5/2025)
FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE J.P. MORGAN MANAGED INVESTMENT SERVICES PROGRAM (11/5/2025)
WRAP FEE PROGRAM BROCHURE (CWM) (11/5/2025)
WRAP FEE PROGRAM BROCHURE (JPMA) (11/5/2025)

Direct owners and executive officers

NamePositionCRD#
J.P. MORGAN BROKER-DEALER HOLDINGS INC.MEMBER
AIDELSON, DAVIDCHIEF LEGAL OFFICER7884539
ALAOUI ABDALLAOUI, RACHIDCEO, CHAIR, ELECTED MANAGER7122597
BISESI, BRIAN JELECTED MANAGER3090554
CHOI, MICHAELCHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER6597789
COLAVITA, MOLLIEELECTED MANAGER1875615
COLLINS, JAMES MICHAELCHIEF FINANCIAL OFFICER2725065
DEMPSEY, PATRICK PAULTREASURER2830362
ENGLANDER, ADAM FELECTED MANAGER2941059
FOLEY, KEVIN JELECTED MANAGER4012244
KLION, ROGERCHIEF OPERATING OFFICER5082261
MCCRUM, CARRIEELECTED MANAGER7675791
SABLE, MATTHEW DELECTED MANAGER4835849
TEPPER, ERIC D.ELECTED MANAGER2242377
VIENICK, PAULELECTED MANAGER2212982
VILLWOCK, DAVID SCHIEF COMPLIANCE OFFICER - BROKER DEALER8071637

Regulatory assets under management

Total Number of Accounts1,055,400
AUM (Assets Under Management)$ 352,605,441,286

Disclosures

Regulatory Event392
Civil Event9
Arbitration144

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2025
Cover Page
Report
10/25/2024
Cover Page
Report
11/27/2023
Cover Page
Report

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

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CRD#: 79

TRUST BUT VERIFY

Monitor Brian Lee

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.