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JL

James D. Lee

Some features on this profile are disabled
CRD#: 5352058
JL

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 D Lee, CFP®, who also goes by James D. Lee, James D. Reed, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2007. James had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James D. Lee | James D. Reed

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 products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. JAMES LEE - RESIDENTIAL RENTAL/Investment Related - No/2316 Yosemite Ave Simi Valley CA 93063/Residential Rental. We rent out our house./Owner/01.2003/10/0/Collect rent, manage property, repairs. LJ REED TAX AND FINANCIAL PLANNING SERVICES/Investment Related - No/1445 E. Los Angeles Ave 114 Simi Valley CA 93065/Prepare Taxes, representation before IRS, bookkeeping, process service, business formation, group and individual medical insurance, pre-need insurance./Partner/01.2000/25/5/CEO - Oversee and manage all activities LJR Financial & Ins Services; Agent; Simi Valley CA; as of 7/2014 and not investment related.

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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Past

November 30, 2023 - October 7, 2024

STIRLINGSHIRE INVESTMENTS

RIA
CRD#: 327779
SIMI VALLEY, CA
Past

November 30, 2023 - October 7, 2024

STIRLINGSHIRE INVESTMENTS

BD
CRD#: 310576
NEW YORK CITY, NY
Past

August 28, 2019 - January 3, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
Thousand Oaks, CA
Past

August 28, 2019 - January 3, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Thousand Oaks, CA
Past

September 15, 2008 - June 11, 2019

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
SIMI VALLEY, CA
Past

June 18, 2007 - June 11, 2019

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
SIMI VALLEY, 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".
SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)

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: 8/2/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/16/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/12/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)
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Contact information

Main Address
15 W 38th St. #704, New York, NY 10018
Mailing Address
Phone number
(877) 600-7026
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STIRLINGSHIRE ADV PART 2 (10/22/2025)

Regulatory assets under management

Total Number of Accounts1,135
AUM (Assets Under Management)$ 179,802,588

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

STIRLINGSHIRE INVESTMENTS

CRD#: 327779

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