JL
Jae Lee
CONCORDE ASSET MANAGEMENT
Ann Arbor, MI 48108
Some features on this profile are disabled
CRD#: 5371715
JL
Professional summary
Jae Lee, who also goes by Jae In Lee, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Ann Arbor, Michigan and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Jae is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jae has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jae In 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.
1) Concorde Holdings, Inc., Investment related, Ann Arbor, MI Holding company for Broker Dealer and RIA affiliate. Start date, February 2021. Full time. 2) Concorde Asset Management, LLC. Investment related. Ann Arbor, MI. Registered investment advisory affiliate of the broker dealer. Start date, August 2021. Full time during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jae 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
September 8, 2021 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108RIA
CRD#: 140367
Ann Arbor, MI
Current
February 2, 2021 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108Office #2: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
April 24, 2015 - February 5, 2021
TRIAD ADVISORS LLC
BD
CRD#: 25803
NORCROSS, GA
Past
October 4, 2012 - June 14, 2013
E*TRADE CLEARING LLC
BD
CRD#: 25025
JERSEY CITY, NJ
Past
June 23, 2009 - May 1, 2015
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
December 14, 2007 - March 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ATLANTA, GA
Past
December 10, 2007 - March 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ATLANTA, GA
Past
September 5, 2007 - October 30, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ATLANTA, GA
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".
CA
CONCORDE ASSET MANAGEMENT, LLC
CONCORDE ASSET MANAGEMENT LLC | CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
RIA
Registered Investment Advisory firm - (4/19/2012 Approved)California
Registered Investment Advisory firm - (11/28/2012 Terminated)Colorado
Registered Investment Advisory firm - (11/29/2012 Terminated)Illinois
Registered Investment Advisory firm - (4/19/2012 Terminated)Indiana
Registered Investment Advisory firm - (11/5/2012 Terminated)Kansas
Registered Investment Advisory firm - (11/5/2012 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2012 Terminated)Missouri
Registered Investment Advisory firm - (11/5/2012 Terminated)Ohio
Registered Investment Advisory firm - (11/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/7/2012 Terminated)Texas
Registered Investment Advisory firm - (11/5/2012 Terminated)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
Georgia(2/2/2021)
IAR
Georgia(3/3/2023)
RR
Massachusetts(3/3/2021)
IAR
Massachusetts(3/13/2023)
RR
Michigan(2/2/2021)
IAR
Michigan(9/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CONCORDE ASSET MANAGEMENT, LLC
CONCORDE ASSET MANAGEMENT LLC | CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
RIA
Registered Investment Advisory firm - (4/19/2012 Approved)California
Registered Investment Advisory firm - (11/28/2012 Terminated)Colorado
Registered Investment Advisory firm - (11/29/2012 Terminated)Illinois
Registered Investment Advisory firm - (4/19/2012 Terminated)Indiana
Registered Investment Advisory firm - (11/5/2012 Terminated)Kansas
Registered Investment Advisory firm - (11/5/2012 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2012 Terminated)Missouri
Registered Investment Advisory firm - (11/5/2012 Terminated)Ohio
Registered Investment Advisory firm - (11/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/7/2012 Terminated)Texas
Registered Investment Advisory firm - (11/5/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Mailing Address
Phone number
(248) 824-6710
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,207 |
| AUM (Assets Under Management) | $ 489,858,232 |
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.
