Adviser and broker representative · Osaic Wealth, Inc.
James J. Lee
CRD 4915177 · Ellicott City, MD
At a glance
James J. Lee is an investment adviser representative with Osaic Wealth, Inc. in Ellicott City, MD, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on James’s SEC record dates to 2010, about 16 years ago. James is also registered as a broker representative.
Current advisory firms
- Osaic Wealth, Inc.Since January 2010Ellicott City, MD · $235B in regulatory assets
- Lee Financial Associates, Inc.Since March 2012Ellicott City, MD · State-registered or not in the SEC’s list
SEC adviser record
- Registered since
- 2010 (16 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 9 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.