Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lee is a financial advisor with LPL Financial LLC in Fort Mill, South Carolina. James has been in the financial industry since 2002 and has experience with Charles Schwab & Co., Inc., TD Ameritrade, Inc., Ameritrade, Inc., Pershing LLC, and Datek Online Financial Services LLC. James holds Series 4, 7, 24, 63, SIE, and 99TO licenses. James specializes in providing financial planning, portfolio management for individuals and businesses, and consulting and other non-discretionary advisory services.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
SC
06/02/2022 - Present
LPL Financial LLC (FORT MILL SC)
TX
12/15/2020 - 05/24/2022
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
04/22/2006 - 12/31/2020
TD AMERITRADE, INC. (JERSEY CITY NJ)
NE
05/26/2005 - 04/22/2006
AMERITRADE, INC. (OMAHA NE)
NJ
02/04/2004 - 01/13/2005
PERSHING LLC (JERSEY CITY NJ)
NJ
06/30/2001 - 09/26/2002
DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NE
09/07/2000 - 06/30/2001
DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)
BC
Issued 09/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/2000
Series 4 - Registered Options Principal Examination
BC
Issued 11/07/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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