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Inactive

James Harold Lee

Stratfi

Wilmington, DE

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Current Employers
Stratfi

1201 N. Orange Suite 742, Wilmington, DE 19801 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-11-15
DE RA APPROVED 2012-10-11
  • TX RA
    APPROVED_RES
    Since 2013-11-15
  • DE RA
    APPROVED
    Since 2012-10-11

Branch Locations

1201 N. Orange Suite 742, Wilmington, DE 19801 • 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
Self Employed Wilmington DE 03/2011 Present
Stratfi Wilmington DE 09/2012 Present
  • 03/2011 → Present
    Self Employed
    Wilmington, DE
  • 09/2012 → Present
    Stratfi
    Wilmington, DE
Previous Registrations
  • 1998-01-01 → 2011-05-24
    Lau Associates Llc
    Wilmington, DE
Other Businesses

SELF EMPLOYED WRITING AND PUBLIC SPEAKING (VARIABLE TIME)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-06
S63 Uniform Securities Agent State Law Examination 1991-08-12
  • S65 Uniform Investment Adviser Law Examination
    1994-05-06
  • S63 Uniform Securities Agent State Law Examination
    1991-08-12
Designations
Other Names
  • Jim Lee

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
KINGSVIEW WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

LORI ANN RUTKOWSKI
ROBERT GEORGE ZIEGLER
GERARD PHILLIPPE VIARS
STEPHEN CRAIG MCDERMOTT
BRENT CHRISTOPHER FUCHS
Michelle Keiko Mullinix
ABBY LEIGH PUBUSKY
Sophie Schroyer

Other Offices

OSAIC WEALTH, INC. · WILMINGTON, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
AMERIPRISE FINANCIAL SERVICES, LLC · Wilmington, DE
KINGSVIEW WEALTH MANAGEMENT, LLC · Wilmington, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, DE
PNC WEALTH MANAGEMENT LLC · WILMINGTON, DE
EDWARD JONES · WILMINGTON, DE

More in Wilmington, DE

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