Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames D Lee is an Investment Advisor Representative at Level Four Advisory Services, LLC. James has been working in the securities industry for over 14 years and has passed the Series 66, Series 7, Series 11, and the SIE Exam. James specializes in providing financial planning, pension consulting, and educational seminars. James also has experience in portfolio management for businesses and individuals. James is registered with FINRA and the state of New York. James is also registered as an Investment Advisor Representative with the state of New York. James previously worked at MID-ATLANTIC SECURITIES, INC. and Queens College.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor fees - portion of assets managed by other advisors
1
2
NY
10/14/2022 - Present
Level Four Advisory Services (GREAT NECK NY)
NY
11/06/2008 - 10/31/2022
MID-ATLANTIC SECURITIES, INC. (GREAT NECK NY)
BOTH
Issued 11/01/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2018
Series 7 - General Securities Representative Examination
BC
Issued 01/02/2008
Series 11 - Assistant Representative-Order Processing Qualification Exam
Active
Inactive
F
FINRA
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