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RIA / WealthAdvisor28 years in industry

JAMES HENGSUK LEE

Advisor at LEE, KELLEHER & KLEIN WEALTH MANAGEMENT

ELLICOTT CITY, MD

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Search this name across graphsid dfx:ria:ceb64624-2328-e4b3-9e23-0bcbb0a93ca1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 29, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LEE, KELLEHER & KLEIN WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 6, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 6, 1998
First registration: Nov 29, 1998
Dual registered: no
IAPD individual key: 3057511

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LEE, KELLEHER & KLEIN WEALTH MANAGEMENT	Independent wealth	Aug 7, 2024	n/a	yes	ELLICOTT CITY, MD	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 15, 2011	Jul 22, 2024	no	COLUMBIA, MD	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 17, 2011	no	WASHINGTON, DC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 29, 1998	Jun 1, 2009	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LEE, KELLEHER & KLEIN WEALTH MANAGEMENT	Jul 22, 2024	Aug 7, 2024	16	Firm change	Wirehouse to new firm
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 17, 2011	Aug 15, 2011	-2	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LEE, KELLEHER & KLEIN WEALTH MANAGEMENTRegistered adviserregistration: current employment
Aug 7, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 15, 2011 to Jul 22, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 17, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 29, 1998 to Jun 1, 2009factForm ADV

Dated events

Occurred
Jul 22, 2024
Advisor changed firm
James Hengsuk Lee left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lee, Kelleher & Klein Wealth Management (registered 2024-08-07)
Form ADVobserved 5 days ago