AdFi
JL

James Lee

Investment Adviser Representative at EQUITABLE ADVISORS, LLC

Saddle Brook, NJCRD #2371609Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
3 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
GeorgiaNew JerseyNew York
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/9/2000
Series 63
Uniform Securities Agent State Law Examination
Passed 10/13/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/27/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Equitable Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

EQUITABLE ADVISORS, LLCCurrent
7/30/2002Saddle Brook, NJ
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
9/28/19941/5/2000New York, NY
SOUTH RICHMOND SECURITIES, INC.
9/29/19938/25/1994

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Lee has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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