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 a financial advisor with Stirlingshire Investments. James has been in the industry since September 2, 2007. James holds Series 6, 7, 63, and 65 licenses, as well as the SIE. James is a Certified Financial Planner and has experience in financial planning, portfolio management, and educational seminars. James has a strong background in the financial services industry, with experience at Transamerica Financial Advisors, Inc., HD Vest Investment Services, and Skyworks Solutions. James is dedicated to providing personalized financial advice and helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
NY
11/30/2023 - Present
Stirlingshire Investments (NEW YORK NY)
CA
08/28/2019 - 01/03/2024
TRANSAMERICA FINANCIAL ADVISORS, INC (Thousand Oaks CA)
CA
09/15/2008 - 06/11/2019
HD VEST INVESTMENT SERVICES (SIMI VALLEY CA)
BC
Issued 08/02/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/16/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/12/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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