Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J. Lee is an investment advisor representative who is registered in 35 states and the District of Columbia. James has been in the industry for over 20 years and currently works at Rockefeller Financial LLC and Rockefeller Capital Management. James specializes in financial planning, pension consulting, selection of other advisers, and portfolio management for businesses and individuals. James is also a registered investment advisor in New Jersey, New York, and Texas. James has earned the Series 7, Series 63, Series 65, and SIE licenses.
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.
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.
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NY
02/01/2021 - Present
Rockefeller Financial LLC (New York NY)
NY
12/04/2015 - 05/26/2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
NY
08/17/2012 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NJ
06/01/2009 - 09/05/2012
MORGAN STANLEY SMITH BARNEY (RED BANK NJ)
NJ
03/20/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RED BANK NJ)
NY
01/31/2002 - 04/02/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
01/02/2002 - 02/01/2002
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
10/06/2000 - 01/02/2002
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
08/08/2000 - 09/21/2000
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
NY
05/23/2000 - 09/08/2000
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
IA
Issued 07/02/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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