Jongsoo Lee

BROCK FIDUCIARY SERVICES LLC

New York, NY 10022

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CRD#: 5434434

Professional summary

Jongsoo Lee, who also goes by James Lee, Jongsoo James Lee, is a registered financial advisor currently at BROCK FIDUCIARY SERVICES LLC located in New York, New York and BROCK SECURITIES LLC located in New York, New York.

Jongsoo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jongsoo has worked at 2 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Lee | Jongsoo James 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. BROCK CAPITAL GROUP LLC. SAME ADDRESS AS BD. SENIOR MANAGING DIRECTOR, STRATEGIC ADVISORY SERVICES (NON INVESTMENT-RELATED). APPROX. 80 HOURS/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jongsoo 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

October 24, 2013 - Present

BROCK FIDUCIARY SERVICES LLC

Office #1: 505 Park Avenue 14th Floor, New York, NY 10022

RIA

CRD#: 153055

New York, NY

Current

December 21, 2007 - Present

BROCK SECURITIES LLC

Office #1: 505 Park Ave 14th Floor, New York, NY 10022

CRD#: 122156

New York, NY

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".

BROCK FIDUCIARY SERVICES LLC

CRD#: 153055 / SEC#: 801-71132

RIA

Registered Investment Advisory firm - (3/4/2010 Approved)

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.

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

California
(3/27/2017)

New York
(2/4/2008)

IAR

Texas
(10/24/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BROCK FIDUCIARY SERVICES LLC

CRD#: 153055 / SEC#: 801-71132

RIA

Registered Investment Advisory firm - (3/4/2010 Approved)

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Contact information

Main Address

505 Park Avenue 14th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 209-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE DEC 31 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 805,003,601

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.

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Firm Stability Insights

Jongsoo Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jongsoo Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROCK SECURITIES LLC

Primary Firm SEC Registration

BROCK FIDUCIARY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2008

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2007

FINRA

Current Firm

BROCK FIDUCIARY SERVICES LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROCK FIDUCIARY SERVICES LLC

TRUST BUT VERIFY

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