George B. Lee
BENJAMIN F. EDWARDS & COMPANY | Financial Advisor
Colorado Springs, CO 80903
Some features on this profile are disabled
CRD#: 1453228
Professional summary
George B Lee III, who also goes by George B Lee, George Bernard Lee III, is a registered financial advisor currently at BENJAMIN F. EDWARDS & COMPANY, INC. located in Colorado Springs, Colorado.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. George has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
What are your service offerings?
Executive Compensation and Ben...
Investment Management
Estate Planning Strategies
Are you a "fiduciary"?
Yes
Aliases
George B Lee | George Bernard Lee Iii
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.
PIckleball instruction and pickleball paddle sales; non-investment related; Colorado Springs, CO; teaching pickleball; not civic/charitable/fraternal; start date Oct. 15, 2020; 10 hours/month; 0 hours during trading hours; giving pickleball instruction and selling pickleball paddles
CRS (Client Relationship Summary) - RIA
Click below to view George B Lee III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George B Lee III'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 27, 2024 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 90 South Cascade Avenue Suite 1140, Colorado Springs, CO 80903RIA
BD
CRD#: 146936
Colorado Springs, CO
Current
June 27, 2024 - Present
BENJAMIN F. EDWARDS & COMPANY, INC.
Office #1: 90 South Cascade Avenue Suite 1140, Colorado Springs, CO 80903RIA
BD
CRD#: 146936
Colorado Springs, CO
Past
July 30, 2018 - July 8, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DENVER, CO
Past
July 27, 2018 - July 8, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DENVER, CO
Past
March 14, 2008 - July 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLORADO SPRINGS, CO
Past
March 14, 2008 - July 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLORADO SPRINGS, CO
Past
January 27, 1999 - March 25, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
COLORADO SPRINGS, CO
Past
January 12, 1999 - March 25, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
COLORADO SPRINGS, CO
Past
May 11, 1998 - January 4, 1999
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 7, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
January 22, 1986 - July 2, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 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
Arizona(6/27/2024)
RR
California(6/27/2024)
RR
Colorado(6/27/2024)
IAR
Colorado(6/27/2024)
RR
Florida(6/27/2024)
RR
Georgia(9/13/2024)
RR
Indiana(6/28/2024)
RR
Kentucky(6/27/2024)
RR
Montana(7/3/2024)
RR
Oregon(7/1/2024)
RR
Pennsylvania(6/28/2024)
RR
Utah(6/27/2024)
RR
Virginia(6/27/2024)
RR
Washington(7/8/2024)
RR
West Virginia(6/27/2024)
RR
Wyoming(6/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/6/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
BF
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN F. EDWARDS | MSHB, LLC | MSHB | BENJAMIN F. EDWARDS & COMPANY, LLC | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | BENJAMIN F. EDWARDS & COMPANY, INC. | BENJAMIN F. EDWARDS & COMPANY
CRD#: 146936 / SEC#: 801-71421, 8-68023
RIA
Registered Investment Advisory firm - SEC (5/6/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Brentwood Blvd, Suite 850 Suite 850, St. Louis, MO 63105
Mailing Address
One North Brentwood Blvd, Suite 850, St. Louis, MO 63105
Phone number
(314) 726-1600
Established
Missouri since 08/19/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
736
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
Company Information
BENJAMIN F. EDWARDS & COMPANY, INC.
Financial AdvisorCRD#: 146936Colorado Springs, CO 80903TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
