linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Lee

Mizuho Securities USA LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Lee

James Lee is a securities professional with over 20 years of experience in the financial industry. James has a broad range of experience in the securities industry and is currently registered with Mizuho Securities USA LLC. Previously, James was a registered representative for CLSA Americas, LLC, Credit Agricole Securities (USA) INC., Sterne, Agee & Leach, INC., W.R. Hambrecht + Co., LLC, America's Growth Capital, LLC, and National Financial Services LLC. James holds the Series 7, Series 63, Series 86, and Series 87 licenses.

Firm Information

James Lee is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Lee’s Registration & Firm History

MA

05/18/2017 - Present

Mizuho Securities USA LLC (BOSTON MA)

MA

02/15/2013 - 03/08/2017

CLSA AMERICAS, LLC (BOSTON MA)

MA

01/20/2010 - 05/31/2013

CREDIT AGRICOLE SECURITIES (USA) INC. (BOSTON MA)

MA

02/07/2008 - 10/28/2009

STERNE, AGEE & LEACH, INC. (BOSTON MA)

MA

08/24/2006 - 10/12/2007

W.R. HAMBRECHT + CO., LLC (BOSTON MA)

MA

08/29/2005 - 08/04/2006

AMERICA'S GROWTH CAPITAL, LLC (BOSTON MA)

MA

08/24/2001 - 10/09/2003

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

NY

02/20/2001 - 04/03/2001

UBS WARBURG LLC (NEW YORK NY)

Not sure if James Lee is right for you?

Licenses & Designations

BC

Issued 09/21/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/13/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/17/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Lee.
Not sure if James Lee is right for you?