James L. Lee
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.
James L Lee, who also goes by James Louis Lee III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2017 - April 2, 2025
PER STIRLING CAPITAL MANAGEMENT, LLC
January 2, 2009 - August 2, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 1, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 19, 2003 - August 2, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,584 |
| AUM (Assets Under Management) | $ 1,387,216,441 |
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.
