Robert Edward Lee
CFP®Professional Summary
Robert Edward Lee, CFP®, who also goes by Rob Lee, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Education Planning
- Divorce Planning
- Employee and Employer Plan Benefits
- Comprehensive Financial Planning
- Estate Planning
- Elder Care
- Retirement Planning
- Investment Planning
Other Aliases
Rob Lee
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC
Contact Information
Main Address
24 Greenway Plaza Suite 1895, Houston, TX 77046Mailing Address
500 North Shoreline Blvd. #400, Corpus Christi, TX 78401Phone Number
(713) 527-3400# of Employees
35SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,892AUM (Assets Under Management)
$625,113,905Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC
State Registrations and Notice Filings
(6/19/2018)
(6/15/2018)
(4/25/2016)
(8/19/2014)
(8/18/2014)
(6/3/2015)
(6/30/2015)
(8/18/2014)
(1/17/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Edward Lee's CRS (Customer Relationship Summary).
Services Offered by Robert
- Education Planning
- Divorce Planning
- Employee and Employer Plan Benefits
- Comprehensive Financial Planning
- Estate Planning
- Elder Care
- Retirement Planning
- Investment Planning
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OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
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