JL
Jonathan F. Lee
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CRD#: 848647
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.
Jonathan Fraser Lee, who also goes by Jonathan F Lee, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1978. Jonathan had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan F 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.
The advisor shows no other business activity.
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®
NoneExperience
Past
January 23, 2020 - February 2, 2022
THE PATRIOT FINANCIAL GROUP, LLC
RIA
CRD#: 172470
Middleton, MA
Past
January 17, 2020 - November 16, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MIDDLETON, MA
Past
September 19, 2012 - January 21, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Peabody, MA
Past
September 19, 2012 - January 21, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Peabody, MA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
TOPSFIELD, MA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
TOPSFIELD, MA
Past
February 18, 2005 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
GLOUCESTER, MA
Past
October 27, 2004 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
GLOUCESTER, MA
Past
October 20, 2004 - November 18, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CHARLOTTE, NC
Past
October 20, 2004 - November 18, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 22, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
BILLERICA, MA
Past
March 8, 2002 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
July 24, 1998 - December 7, 2000
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
January 10, 1994 - February 5, 1997
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
January 4, 1993 - January 1, 1994
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
June 1, 1991 - December 24, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 1, 1989 - May 15, 1991
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
May 3, 1988 - December 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 12, 1983 - May 12, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
June 3, 1980 - October 8, 1983
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
June 4, 1979 - February 18, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
December 19, 1978 - July 19, 1979
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
February 1, 1978 - January 13, 1979
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 West Street Suite 201, Walpole, MA 02081
Mailing Address
Phone number
(508) 251-6100
Established
Firm type
Fiscal year end
# of Employees
62
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,135 |
| AUM (Assets Under Management) | $ 2,405,488,420 |
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.
