James D Lee

Employer firm

Level Four Advisory Services CRD 134086

$6.54B regulatory AUM 98 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2004 → 10/2022
  Mid-Atlantic Securities, Inc.
  Little Neck, NY
• 05/2006 → Present
  Queens College
  Queens, NY
• 10/2022 → Present
  Level Four Financial, Llc
  Dallas, TX
• 10/2022 → Present
  Level Four Advisory Services, Llc
  Dallas, TX

Previous Registrations

• 2019-01-02 → 2022-10-31
  Mid-Atlantic Securities, Inc.
  Great Neck, NY

Other Businesses

LEVEL FOUR ADVISORY SERVICES, LLC, AN SEC REGISTERED INVESTMENT ADVISOR, INVESTMENT RELATED, LOCATED AT 12400 COIT ROAD, SUITE 700, DALLAS TX 75251, INVESTMENT ADVISOR REPRESENTATIVE, DEVOTE APPROXIMATELY 120 HOURS PER MONTH TO ADVISORY DURING TRADING HOURS, STARTED 10/2022.

Exams

• S66 Uniform Combined State Law Examination
  2018-11-01