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James Robert Lee

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenville, SC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-10-16
SC RA APPROVED 2019-08-23
  • TX RA
    APPROVED
    Since 2019-10-16
  • SC RA
    APPROVED
    Since 2019-08-23

Branch Locations

3596 Pelham Rd, Greenville, SC 29615 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenville SC 10/2013 Present
Bank Of America, N.A. Greenville SC 10/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-22
  • S66 Uniform Combined State Law Examination
    2019-08-22
Other Names
  • James Lee

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · GREENVILLE, SC
FORTIS CAPITAL ADVISORS, LLC · Greenville, SC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · GREENVILLE, SC
THE HUNTINGTON INVESTMENT COMPANY · Greenville, SC
THE HUNTINGTON INVESTMENT COMPANY · Greenville, SC
AMERIPRISE FINANCIAL SERVICES, LLC · Greenville, SC
GOEPPER BURKHARDT LLC · GREENVILLE, SC
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT · GREENVILLE, SC

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