James Bradford Lee

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2025-01-08
IA	RA	APPROVED	2015-01-14

CO RA
APPROVED

Since 2025-01-08
IA RA
APPROVED

Since 2015-01-14

Branch Locations

Denver, CO • 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
Lpl Financial, Llc	Denver	CO	11/2014	Present

11/2014 → Present

Lpl Financial, Llc

Denver, CO

Other Businesses

1. 12/15/2014 - Cedar Valley Tax Services - INV REL - 1427 Kris Line Dr., Waterloo, IA 50701 - Tax Prep/Accounting/CPA - START 02/15/2015 - 20 HOURS PER MONTH, 0 DURING TRADING - James will be acting as the sole owner and preparer or individual and small business tax returns 2. 09/21/2021 - James Lee Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/01/2021 - 40 Hours Per Month/40 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-01-13

S66 Uniform Combined State Law Examination

2015-01-13