James Lee

Current Employers

Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
AR	RA	APPROVED	2024-11-14
CA	RA	APPROVED	2024-11-14
TX	RA	APPROVED_RES	2024-11-14

AR RA
APPROVED

Since 2024-11-14
CA RA
APPROVED

Since 2024-11-14
TX RA
APPROVED_RES

Since 2024-11-14

Branch Locations

3333 Michelson Drive Suite 820, Irvine, CA 92612 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Prudential Insurance Company Of America	Irvine	CA	06/2004	Present
Pruco Securities, Llc.	Irvine	CA	06/2004	11/2024
Lpl Enterprise, Llc	Irvine	CA	11/2024	Present

06/2004 → Present

Prudential Insurance Company Of America

Irvine, CA
06/2004 → 11/2024

Pruco Securities, Llc.

Irvine, CA
11/2024 → Present

Lpl Enterprise, Llc

Irvine, CA

Previous Registrations

2004-12-17 → 2024-11-14

Pruco Securities, Llc.

Irvine, CA

Irvine, CA

Other Businesses

1) 11/03/2025-Harbor Med Tech-Investor-Business Entity For Tax/Investment Purposes Only-Not inv related-At Irvine, CA-Start date 06/29/2017-0hrs/mth-0hrsmth during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-07-28

S66 Uniform Combined State Law Examination

2004-07-28

Other Names

Jim Lee
Jimmy Lee

View on SEC IAPD