Lee E. Goldner

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CRD#: 1613576

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lee Edward Goldner was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1987. Lee had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) HBWFLS ENTERPRISES, LLC/ONTARIO LTD. PRESIDENT, 20% MEMBER, NOT INVESTMENT RELATED, 256 CENTER ST, SOUTH HAVEN MI. ENTITY IS A HUNTING CAMP LOCATED IN NORTHERN ONTARIO CA, 1 WEEK PER MONTH JUNE THROUGH SEPTEMBER, 2 HOURS PER MONTH THEREAFTER. INCORPORATED 12/2004. 2) LCK, Inc., co-Owner/President, Not Investment-related, 256 Center St, South Haven, MI, Nature of Business: Flow-through for fixed insurance compensation, Hours devoted per month: 30 , Start Date: 1990, duties: supervisor, bookkeeping. 3) CAMPFIRE STU, LLC, INVESTMENT RELATED, ST.JOSEPH MI, NATURE: SONGS & BOOKS FOR CHILDREN K-5, POSITION: INVESTOR, START DATE: FEB.2017, ZERO HOURS PER MONTH, NO DUTIES 4) MiWEST FINANCIAL, INVESTMENT RELATED, LUDINGTON MI, NATURE: PASS-THROUGH FOR COMMISSIONS, POSITION: 10% SHARE OWNER, START DATE: JAN.2022, APX 4 HOURS PER MONTH DURING TRADING HOURS, DUTIES: ADVISOR TO PRIMARY OWNER 5) GLP & ASSOCIATES, INVESTMENT RELATED, SOUTH HAVEN, MI, NATURE: LIFE INSURANCE & ANNUITY SALES, POSITION: INSURANCE AGENT, START DATE: 08/1997, APX 10 HOURS PER MONTH DURING TRADING HOURS, DUTIES: SERVICE EXISTING INSURANCE AND ANNUITY CLIENTS. 6) ASSET ALLOCATION STRATEGIES, LLC, INVESMTENT RELATED, SOUTH HAVEN, MI. NATURE: INVESTMENT ADVISOR. POSITION: IAR. START DATE: 01/2011, APX 10 HOURS PER MONTH DURING TRADING HOURS, DUTIES: ACITVE MANAGEMENT/SERVICING OF EXISTING ADVISORY CLIENTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 2, 2011 - January 24, 2023

ASSET ALLOCATION STRATEGIES, LLC

RIA

CRD#: 152339

SOUTH HAVEN, MI

Past

October 23, 2000 - January 24, 2023

GLP INVESTMENT SERVICES, LLC

CRD#: 25450

SOUTH HAVEN, MI

Past

October 1, 1999 - October 25, 2000

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

February 23, 1995 - October 8, 1999

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

February 20, 1992 - February 21, 1995

AMERICAN CLASSIC SECURITIES, INC.

CRD#: 25399

PONTE VEDRA, FL

Past

January 22, 1991 - January 24, 1992

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

February 12, 1987 - January 18, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/24/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/11/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

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Contact information

Main Address

33335 Grand River, Farmington, MI 48336

Mailing Address

Phone number

(248) 489-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET ALLOCATION STRATEGIES, LLC FORM 2A 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,883
AUM (Assets Under Management)	$ 767,431,598

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.

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Advisor Monitoring

Firm Stability Insights

Lee E. Goldner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLP INVESTMENT SERVICES, LLC

AMERICAN CAPITAL CORPORATION

WMA SECURITIES, INC.

AMERICAN CLASSIC SECURITIES, INC.

NORTH AMERICAN MANAGEMENT, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ASSET ALLOCATION STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2011

Series 63

Date: 2/11/1987

SIE

Date: 10/1/2018

Series 6

Date: 2/11/1987

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET ALLOCATION STRATEGIES, LLC

TRUST BUT VERIFY

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