RL
Robert E. Lee
NATIONS FINANCIAL GROUP
Dubuque, IA 52001
Some features on this profile are disabled
CRD#: 1413943
RL
Professional summary
Robert Emmett Lee JR, CFP®, ChFC®, CLU®, who also goes by Bob Lee, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Dubuque, Iowa.
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 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Lee
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.
EXCLUSIVE REAL ESTATE, LTD.; NOT INVESTMENT RELATED; 13719 W.LAUREL, LAKE FOREST, IL 60045; REAL ESTATE BROKERAGE FIRM; PRESIDENT/BROKER; STARTED JANUARY 1, 1989; 15 HOURS PER MONTH WITH 3 DURING TRADING; HELPING CLIENTS BUY AND SELL REAL ESTATE // ROBERT E. LEE; IS INVESTMENT RELATED; 13719 W LAUREL, LAKE FORREST, IL, 60045; INSURANCE SALES; AGENT; BEGAN JANUARY 1, 1988; 10 HOURS PER MONTH INCLUDING DURING TRADING; SELLS LIFE INSURANCE. // EMMETT FINANCIAL SERVICES INC; NOT INVESTMENT RELATED; 13719 W LAUREL LAKE FOREST IL 60045; ACCOUNTING AND TAX SERVICES; PRESIDENT; STARTED JANUARY 1985; 120 HOURS DEVOTED PER MONTH; 100 HOURS DURING TRADING; PROVIDE ACCOUNTING AND TAX RETURN SERVICES// ROBERT E. LEE ATTORNEY AT LAW; NOT INVESTMENT RELATED; 13719 W LAUREL LAKE FOREST IL 60045; ATTORNEY OFFICE; OWNER-IL ATTORNEY; STARTED JULY 1 1985; 15 HOURS DEVOTED PER MONTH; 5 HOURS DURING TRADING; REPRESENT CLIENTS IN RE CLOSINGS, PROBATE AND ESTATE PLANNING, DRAFTING AND REVIEWING CONTRACT// CORE INVESTMENTS GROUP; IS INVESTMENT RELATED; 40 MAIN ST., SUITE 103 DUBUQUE, IA 52001; NATURE OF BUSINESS IS DBA TO OFFER INVESTMENT SERVICES; POSITION IS EMPLOYEE; STARTED 7/1/19; SPEND APPROX 40 HRS/MONTH ON BUSINESS WITH 40 HRS DURING SECURITY TRADING HRS; RESPONSIBILITIES RELATED TO RELATIONSHIP DEVELOPMENT.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Emmett Lee JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Emmett Lee JR'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®
CFP®
Start date: 1987
Experience
Current
July 1, 2019 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
Dubuque, IA
Current
July 1, 2019 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
Dubuque, IA
Past
September 22, 2015 - July 8, 2019
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Lake Forest, IL
Past
September 22, 2015 - July 8, 2019
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MEMPHIS, TN
Past
July 8, 2010 - September 23, 2015
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
DUBUQUE, IA
Past
July 8, 2010 - September 23, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
DUBUQUE, IA
Past
July 7, 2008 - July 7, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
LAKE FOREST, IL
Past
June 10, 2008 - July 7, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
LAKE FOREST, IL
Past
December 6, 2002 - December 31, 2003
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
February 5, 1998 - December 31, 2000
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
July 24, 1992 - December 31, 1997
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
December 13, 1985 - December 31, 1991
GENEVA SECURITIES,INC.
BD
CRD#: 16178
SCHAUMBURG, IL
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
California(7/1/2019)
RR
Florida(7/1/2019)
RR
Illinois(7/1/2019)
IAR
Illinois(7/1/2019)
RR
Iowa(7/1/2019)
IAR
Iowa(3/8/2023)
RR
Kentucky(7/1/2019)
RR
Wisconsin(7/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
