JL
Jason A. Lee
WORLD EQUITY GROUP
Houston, TX 77027
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CRD#: 6406969
JL
Professional summary
Jason Allen Lee is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Houston, Texas.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jason has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) SMART Group Houston. 4801 Woodway Dr., Ste. 305 West, Houston, TX 77056. Investment Related. Start Date: 5/2018. Vice President. dba name for Registered Representative activities. Approx. hrs/mo: 120. Approx. hrs/Mo during securities trading: 120. (2) VOLUNTEER PODCAST HOST FOR ECONOMIC ALLIANCE - HOUSTON PORT REGION; 4801 WOODWAY DR., STE 305 WEST, HOUSTON, TX 77056.NOT INVESTMENT RELATED; START DTAE: MAY 2019. VOLUNTEER PODCAST HOST AND INTERVIEW BUSINESS LEADERS.BASED IN HOUSTON, TX; APPROX HRS/MO: 12; 12 HOURS DURING SECURITIES TRADING DAY. (3) Breakthrough 2020YouTube, not investment related, 4801Woodway Dr, Ste 305 West, Houston, TX 77056. start date: 5/1/2020. Coordinator. Share and record information from professionals of various industries. No compensation. 15 hours/month. 15 hours/month during trading hours. (4) Exponent Prosperity Accelerator Advisors LLC. Not Investment Related. 4801 Woodway Dr., Ste 305 West, Houston, TX 77056. Business Devel. Consultant. Business improvement, transition and executive retention. Approx. Hrs/Mo: 50. Approx. Hrs/Mo during securities trading: 50. (5) Committee member - Houston Assn of Builders & Contractors; not investment-related; start date 9/11/20; 4910 Dacoma St, Houston, TX 77092; volunteer on the political action and new member committees; Approx 5 hrs/mo, 2 hrs during trading hours (6) Innovative Capital Assurance. Investment Related. Start date: 9/2019. 4801 Woodway Dr., Ste 305 West, Houston, TX 77056. V.P. Sale of fixed insurance. (Life, Health, Disability). Approx. hrs/Mo: 15. Approx. hrs/mo during securities trading: 15 (7) Consivita Investments, LLC. Investment Related. Start date: 10/15/2021. 2804 Garner Park, Pearland, TX. VP - Sales of life, health and disability insurance, mostly, pacific Life and Penn Mutual; may include any offered through FFR and receive payments through Innovative Capital Assurance. . Business development for candidates for legacy, estate planning; may include LIRP and executive retention. (8) American Prudential Capital, LLC; Start Date: 04/01/24; 10216 Fairbanks North, Houston, TX 77064; Posns/Title/: Referral Partner; Nature of OBA: This is a factoring company. They help business owners with operating capital; Duties: I don't work for them. This is a referral relationship. I have people come to me because of the nature of my business asking for resources and I refer them to services they may need. Factoring is one of them; Approx. Hrs/Month: 5 Hrs; Hrs during trading hrs: 5 Hrs. (9) Stellar Bank; Not Investment Related; Address: 9 Greenway Plaza Suite 110, Houston, TX, 77046; Start date: 08/01/24; Nature of OBA: I refer people to their factoring company and get paid a referral fee. Factoring is financing on accounts receivables. Usually used for companies who are struggling to get traditional loans while they grow their business.; Posn/Title: Referral partner; Approx. hrs/Mo: 1. Approx. hrs/Mo during securities trading: 1; Duties: None. If I meet a person who needs their help I refer them over and get a 10% fee on the transaction. (10) M&A Forum; Not Investment Related; Address: 1700 Post Oak, Houston, TX, 77056; Nature of OBA: This is a networking organization that helps bring professionals together to do business.; Posn/Title: President Elect; Start Date: Approx. hrs/Mo: 10 Hrs. Approx. hrs/Mo during securities trading: 5 Hrs: Duties: I help get sponsors and recruit members. I lead discussions with fellow members on ways to improve the organization. (11) Vistage /Preferred CFO; Not Investment Related; Address: 478 S 100 E, Salem, UT, 84653; Nature of OBA: This is a fractional CFO and HR Firm. They help business owners with services that assist in accounting, forecasting, people management and transition.; Posn/Title: Referral Partner/Speaker; Duties: I will be speaking specifically on the value of having strong financial accumen in your business; Hrs/Mth: 6; Hrs/mth during trading Hrs: 4.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Allen Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Allen 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
February 13, 2018 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1800 West Loop South Unit 1700, Houston, TX 77027RIA
BD
CRD#: 29087
Houston, TX
Current
February 15, 2018 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1800 West Loop South Unit 1700, Houston, TX 77027RIA
BD
CRD#: 29087
Houston, TX
Past
January 1, 2015 - April 11, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOUSTON, TX
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
North Carolina(1/2/2025)
IAR
North Carolina(1/6/2025)
IAR
South Carolina(10/7/2021)
IAR
Texas(2/13/2018)
RR
Texas(2/15/2018)
IAR
Virginia(8/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
