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Nicholas J Lee
Nicholas James Lee, Nicholas Lee
CRD#: 5541896
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 Daly City, CA
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2015 - 2021 (6 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2021 - Present (3 years)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2021 - 2023 (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2012 - 2014 (2 years)BTD AMERITRADE, INC. (CRD# 7870)2009 - 2010 (1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2013 - 2014 (1 year)
License(s)

State Registrations

B
Alabama 9/29/2023

B
Nebraska 3/13/2024

B
Alaska 3/13/2024

B
Nevada 9/29/2023

B
Arizona 9/29/2023

B
New Hampshire 9/29/2023

B
Arkansas 3/13/2024

B
New Jersey 9/29/2023

IA
California 7/7/2021

B
New Mexico 3/13/2024

B
California 9/29/2023

B
New York 9/29/2023

B
Colorado 9/29/2023

B
North Carolina 9/29/2023

B
Connecticut 3/13/2024

B
North Dakota 3/13/2024

B
Delaware 9/29/2023

B
Ohio 9/29/2023

B
District of Columbia 9/29/2023

B
Oklahoma 3/13/2024

B
Florida 9/29/2023

B
Oregon 9/29/2023

B
Georgia 9/29/2023

B
Pennsylvania 9/29/2023

B
Hawaii 3/13/2024

B
Puerto Rico 3/13/2024

B
Idaho 9/29/2023

B
Rhode Island 3/13/2024

B
Illinois 9/29/2023

B
South Carolina 9/29/2023

B
Indiana 3/13/2024

B
South Dakota 9/29/2023

B
Iowa 3/13/2024

B
Tennessee 9/29/2023

B
Kansas 9/29/2023

B
Texas 9/29/2023

B
Kentucky 3/13/2024

IA
Texas 3/13/2024

B
Louisiana 9/29/2023

B
Utah 9/29/2023

B
Maine 3/13/2024

B
Vermont 3/13/2024

B
Maryland 9/29/2023

B
Virgin Islands 3/13/2024

B
Massachusetts 9/29/2023

B
Virginia 9/29/2023

B
Michigan 9/29/2023

B
Washington 9/29/2023

B
Minnesota 3/13/2024

B
West Virginia 3/13/2024

B
Mississippi 3/13/2024

B
Wisconsin 9/29/2023

B
Missouri 3/13/2024

B
Wyoming 9/29/2023

B
Montana 3/13/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
Daly City, CA
560 MISSION STREET 24TH FLOOR, SAN FRANCISCO, CA 94105
Registered with this firm since 3/8/2024

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
Daly City, CA
560 MISSION STREET 24TH FLOOR, SAN FRANCISCO, CA 94105
Registered with this firm since 9/29/2023

IA
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559)
One Front St, San Francisco, CA 94111
Registered with this firm since 7/7/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/07/2021 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) San Francisco, CA
IA
04/28/2015 - 07/12/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN MATEO, CA
B
04/28/2015 - 07/12/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN MATEO, CA
IA
03/25/2013 - 10/20/2014 STRATEGIC ADVISERS, INC. (CRD#:104555) SAN FRANCISCO, CA
B
10/04/2012 - 10/16/2014 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SAN FRANCISCO, CA
IA
07/15/2010 - 07/02/2012 CHARLES SCHWAB & CO., INC. (CRD#:5393) MENLO PARK, CA
B
07/14/2010 - 07/02/2012 CHARLES SCHWAB & CO., INC. (CRD#:5393) MENLO PARK, CA
IA
01/22/2010 - 07/09/2010 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) SAN FRANCISCO, CA
IA
01/22/2010 - 07/09/2010 TD AMERITRADE, INC. (CRD#:7870) SAN FRANCISCO, CA
B
07/08/2009 - 07/09/2010 TD AMERITRADE, INC. (CRD#:7870) SAN FRANCISCO, CA
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B
Broker
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Investment Adviser
Disclosures
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