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JL

James W. Lee

Some features on this profile are disabled
CRD#: 823583
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 William Lee was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1976. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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®
None

Experience

Past

December 4, 2014 - November 19, 2015

LEE FINANCIAL ASSOCIATES, INC.

RIA
CRD#: 120725
ELLICOTT CITY, MD
Past

January 6, 2010 - November 15, 1990

MUGNO FINANCIAL SERVICES

RIA
CRD#: 118501
ELLICOTT CITY, MD
Past

January 1, 1999 - December 23, 2015

OSAIC WEALTH, INC.

RIA
CRD#: 23131
ELLICOTT CITY, MD
Past

March 1, 1996 - March 13, 1998

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

November 19, 1989 - December 23, 2015

OSAIC WEALTH, INC.

BD
CRD#: 23131
ELLICOTT CITY, MD
Past

June 10, 1986 - March 1, 1996

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

July 22, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

July 18, 1983 - July 31, 1985

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Past

June 19, 1983 - October 14, 1983

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
Past

May 21, 1982 - July 14, 1983

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
Past

June 22, 1976 - March 1, 1996

G. R. PHELPS & CO., INC.

BD
CRD#: 173

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
IAR
Series 65
Date: 1/6/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 6/18/1976
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 5/12/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1989
General Securities Principal Examination

Current Firm

LF
LEE FINANCIAL ASSOCIATES, INC.
LEE FINANCIAL ASSOCIATES, INC. | LEE FINANCIAL ASSOCIATES, LLC

CRD#: 120725 / SEC#:

Maryland
Registered Investment Advisory firm - (11/27/1991 Approved)
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Contact information

Main Address
5018 Dorsey Hall Drive Suite 204, Ellicott City, MD 21042
Mailing Address
Phone number
(410) 964-3000
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

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

LEE FINANCIAL ASSOCIATES, INC.

CRD#: 120725

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