LL
Larry D. Lee
CETERA INVESTMENT ADVISERS LLC
CANYON, TX 79015
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CRD#: 1155832
LL
Professional summary
Larry Don Lee is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Canyon, Texas and CETERA WEALTH SERVICES, LLC located in Amarillo, Texas.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Larry has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) NAME OF ENTITY:DON LEE, CLU, INC; Yes; 1420 4TH AVE STE 26; CANYON; TX; 79015; FINANICAL SERVICES/DBA; OWNER/PRESIDENT; 6/3/2004; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS 2.) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1420 4TH AVE STE 26; CANYON; TX; 79015; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/3/2004; 160; 160; SALES OF FIXED INSURANCE PRODUCTS| 3) NAME OF OTHER BUSINESS: TRIPLE LEE ENTERPRISES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: GRASSLANDS; START DATE: 1/2015; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NO DUTIES, MANAGEMENT DECISIONS ONLY, RECEIVE DISTRIBUTION FROM GOVERNMENT FOR GRASSLANDS; 4) NAME OF OTHER BUSINESS: LEE FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 5/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE AND SERVICE OF FIXED INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Larry Don Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1420 4th Avenue Ste 26, Canyon, TX 79015RIA
CRD#: 105644
CANYON, TX
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1619 S. Kentucky A501, Amarillo, TX 79102Office #2: 1420 4th Avenue Ste 26, Canyon, TX 79015BD
CRD#: 13572
Amarillo, TX
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 15, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CANYON, TX
Past
July 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CANYON, TX
Past
May 25, 2000 - June 5, 2002
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
November 10, 1998 - June 30, 2004
OMEGA SECURITIES, INC.
BD
CRD#: 7164
FORT WORTH, TX
Past
July 31, 1998 - November 11, 1998
CAPITAL WEST INVESTMENT GROUP, INC.
BD
CRD#: 39446
Past
May 9, 1997 - July 28, 1998
OMEGA SECURITIES, INC.
BD
CRD#: 7164
FORT WORTH, TX
Past
July 14, 1993 - July 27, 1998
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
May 24, 1988 - December 31, 1989
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
CARMEL, IN
Past
November 25, 1983 - June 10, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/2/2025)
RR
Colorado(1/2/2025)
RR
Florida(1/2/2025)
RR
Georgia(1/5/2023)
RR
Idaho(1/2/2025)
RR
New Mexico(6/9/2021)
RR
Oklahoma(1/2/2025)
RR
South Carolina(1/2/2025)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Washington(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
