GL
Gary D. Lee
LONG VIEW FINANCIAL SERVICES,
Spokane, WA
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CRD#: 1242630
GL
Professional summary
Gary Dwayne Lee, CFP® is a registered financial advisor currently at LONG VIEW FINANCIAL SERVICES, INC located in Spokane, Washington.
Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Gary has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.) LONG VIEW FINANCIAL SERVICES, INC - PRESIDENT/PORTFOLIO MGR - REGISTERED INVESTMENT ADVISOR - SPOKANE, WA - SINCE 11/2006 - INVESTMENT RELATED 2.) SPOKANE AUDUBON SOCIETY - BOARD MEMBER - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - SPOKANE, WA - SINCE 10/2015 - NOT INVESTMENT RELATED 3.) LONG VIEW FINANCIAL SERVICES - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - SPOKANE, WA - SINCE 09/2006 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Gary Dwayne 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®
Experience
Current
November 14, 2006 - Present
LONG VIEW FINANCIAL SERVICES, INC
RIA
CRD#: 139727
Spokane, WA
Past
September 6, 2006 - April 9, 2025
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SPOKANE, WA
Past
July 17, 2006 - August 15, 2006
BEERBAUM & BEERBAUM, FINANCIAL AND INSURANCE SERVICES, INC.
RIA
CRD#: 17099
SANTA ROSA, CA
Past
June 30, 1987 - August 15, 2006
BEERBAUM & BEERBAUM, FINANCIAL AND INSURANCE SERVICES, INC.
BD
CRD#: 17099
SANTA ROSA, CA
Past
November 19, 1985 - June 9, 1987
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
March 22, 1984 - September 10, 1985
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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.Highlighted states indicate IAR registrations
IAR
California(12/8/2006)
IAR
Texas(5/29/2014)
IAR
Washington(11/14/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
LV
LONG VIEW FINANCIAL SERVICES, INC
GARY D. LEE, CFP FINANCIAL PLANNING SERVICES | LONG VIEW FINANCIAL SERVICES, INC | LEE, GARY DWAYNE | LEE, GARY D. | GARY LEE, CFP FINANCIAL PLANNING SERVICES
CRD#: 139727 / SEC#:
California
Registered Investment Advisory firm - (12/7/2006 Approved)Texas
Registered Investment Advisory firm - (5/29/2014 Conditional Restricted)Washington
Registered Investment Advisory firm - (9/19/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Spokane, WA
Mailing Address
Phone number
(509) 443-1343
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 163 |
| AUM (Assets Under Management) | $ 46,172,862 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 5/27/2014 |
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.
