Nicholas Lee

CRD 5541896 · J.P. Morgan Securities LLC · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Nicholas J Lee; Nicholas James Lee

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 9Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (14)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Gc Wealth Management Ria, LLC
San Francisco, CA · IA capacity

May 22, 2025 → Dec 5, 2025
J.P. Morgan Private Wealth Advisors LLC
San Francisco, CA · IA capacity

Jul 7, 2021 → Mar 20, 2025
First Republic Securities Company, LLC
San Francisco, CA · BC capacity

Jul 7, 2021 → Sep 29, 2023
Ubs Financial Services Inc.
San Mateo, CA · IA capacity

Apr 28, 2015 → Jul 12, 2021
Ubs Financial Services Inc.
San Mateo, CA · BC capacity

Apr 28, 2015 → Jul 12, 2021
Strategic Advisers, Inc.
San Francisco, CA · IA capacity

Mar 25, 2013 → Oct 20, 2014
Fidelity Brokerage Services LLC
San Francisco, CA · BC capacity

Oct 4, 2012 → Oct 16, 2014
Charles Schwab & Co., Inc.
Menlo Park, CA · IA capacity

Jul 15, 2010 → Jul 2, 2012
Charles Schwab & Co., Inc.
Menlo Park, CA · BC capacity

Jul 14, 2010 → Jul 2, 2012
Td Ameritrade, Inc.
San Francisco, CA · IA capacity

Jan 22, 2010 → Jul 9, 2010
Amerivest Investment Management, LLC
San Francisco, CA · IA capacity

Jan 22, 2010 → Jul 9, 2010
Td Ameritrade, Inc.
San Francisco, CA · BC capacity

Jul 8, 2009 → Jul 9, 2010

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5541896 ↗ FINRA BrokerCheck record for CRD 5541896 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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