PL
Philip J. Lee
BROOKWOOD INVESTMENT GROUP
McAllen, TX
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CRD#: 1656539
PL
Professional summary
Philip Jeffrey Lee is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Mcallen, Texas.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Philip has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 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.ASCENSION FINANCIAL GROUP LLC-PO BOX 720253 MCALLEN, TX 78504 NON-INVESTMENT RELATED COST SHARING ENTITY. THIS ENTITY OWNS REAL ESTATE AND IS A VEHICLE TO RECEIVE SHARED COMMISSIONS FROM INSURANCE SALES. MANAGING MEMBER FROM 11/02/1999 TO PRESENT-1 HOUR/MONTH OUTSIDE OF TRADING HOURS
2.PHILIP J LEE (SELF-EMPLOYED) 1987 TO PRESENT-INSURANCE AGENT-CURRENT ADDRESS PO BOX 720253 MCALLEN, TX 10 TO 15 HRS/MONTH-SOME DURING SECURITY TRADING HOURS.
3.PHILIP J LEE CPA OWNER-FROM 2010 TO PRESENT-1-10 HRS/MONTH-SOME DURING SECURITIES TRADING HOURS-PROVIDES INCOME TAX PLANNING, TAX STRATEGIES, BUSINESS CONSULTING AND OTHER PROFESSIONAL SERVICES EXCLUSIVELY TO DBL TAX DESIGN LLC.
4. DBL TAX DESIGN LLC - DIRECTOR/OFFICER - JUNE 2017 TO PRESENT - 80 to 120 HRS/MONTH - PROVIDES INCOME TAX PLANNING, TAX STRATEGIES, BUSINESS CONSULTING AND OTHER ACCOUNTING/TAX SERVICES EXCLUSIVELY TO CAS CPA LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Jeffrey 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®
NoneExperience
Current
January 6, 2025 - Present
BROOKWOOD INVESTMENT GROUP
RIA
CRD#: 316544
McAllen, TX
Past
January 8, 2020 - December 31, 2024
CAS WEALTH STRATEGIES LLC
RIA
CRD#: 306363
MCALLEN, TX
Past
February 11, 2016 - January 10, 2020
PROSPERITY CAPITAL ADVISORS
RIA
CRD#: 156480
McAllen, TX
Past
December 3, 2014 - February 8, 2016
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
EDINBURG, TX
Past
May 3, 1999 - December 10, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
EDINBURG, TX
Past
May 3, 1999 - December 10, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
EDINBURG, TX
Past
June 10, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
December 16, 1994 - June 8, 1996
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
March 18, 1993 - October 4, 1994
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
January 3, 1991 - March 19, 1993
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
June 15, 1987 - October 10, 1990
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP
CRD#: 316544 / SEC#: 801-122508
RIA
Registered Investment Advisory firm - (10/18/2021 Approved)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
Texas(1/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP
CRD#: 316544 / SEC#: 801-122508
RIA
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Contact information
Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,200 |
| AUM (Assets Under Management) | $ 1,064,198,265 |
Red Flags
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