James Lee, financial advisor Simi Valley CA
93 score

James Lee

CRD Number: 5352058
Current Firm: H.d. Vest Advisory Services, Inc.

James Lee (CRD# 5352058) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Simi Valley, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Ljr Financial & Insurance Services Simi Valley, CA Jul 2014 - Current 2
H.d. Vest Investment Securities Simi Valley, CA Jun 2008 - Current 8
H.d. Vest Advisory Services Simi Valley, CA May 2007 - Current 9
Skyworks Solutions Newbury Park, CA Sep 1999 - Current 17
Skyworks Solutions Newbury Park, CA Jan 1999 - Current 17
Ljr Tax Service Simi Valley, CA Jan 2003 - Jan 2013 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2008
S65 NASAA Investment Advisors Law Examination Jun 2007
Contact Info for James D. Lee
Phone Number: 972-870-6000
Firm Website: https://www.hdvest.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    9,187
    MILLIONS
  • Total Number of Accounts
    50,531
    ACCOUNTS
  • Average Account Value
    $181,805
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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