DL
David J. Lee
SUMMIT WEALTH GROUP
MEMPHIS, TN 38157
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CRD#: 1783035
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Professional summary
David Jonathan Lee, CFP®, CIMA® is a registered financial advisor currently at SUMMIT WEALTH GROUP located in Memphis, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 4 firms and has passed the Series 63, SIE, Series 7 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. Fixed insurance sales under name David Lee, conducted at branch, investment related. 2. Summit Wealth Group, part owner and vice president of private entity created as operating company for securities, investment advisory, and insurance businesses, conducted at branch, investment related. 3. Tax Preparation, David Lee, LLC; Located at 4714 Normandy Ave, Memphis, TN 38114, as of 3/26/2021; 4% of time spent during business hours; Not conducted at branch; Not investment related. 4. Owner, David Lee, LLC; as of 06/18/2018; Approximately 0% time spent during securities trading hours per month; Conducted at branch location; Investment related. 5. The Penny Kings, Musician in a band; Various locations; Approximately 0% time spent during securities trading hours per month; Not conducted at branch location; Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view David Jonathan 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®
CFP®
Start date: 1995
Experience
Current
April 9, 2025 - Present
SUMMIT WEALTH GROUP
Office #1: 5050 Poplar Avenue Suite 1200-1204, Memphis, TN 38157RIA
CRD#: 335242
MEMPHIS, TN
Past
August 8, 2007 - May 1, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
MEMPHIS, TN
Past
August 8, 2007 - May 1, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
MEMPHIS, TN
Past
May 20, 2003 - August 20, 2007
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MEMPHIS, TN
Past
January 20, 1988 - August 10, 2007
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MEMPHIS, TN
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".
SW
SUMMIT WEALTH GROUP
SUMMIT WEALTH GROUP | SUMMIT WEALTH GROUP, INC. | SUMMIT WEALTH GROUP LLC
CRD#: 335242 / SEC#: 801-132262
RIA
Registered Investment Advisory firm - (3/27/2025 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
Tennessee(4/9/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SUMMIT WEALTH GROUP
SUMMIT WEALTH GROUP | SUMMIT WEALTH GROUP, INC. | SUMMIT WEALTH GROUP LLC
CRD#: 335242 / SEC#: 801-132262
RIA
Registered Investment Advisory firm - (3/27/2025 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13710 Struthers Road, Suite 115, Colorado Springs, CO 80921
Mailing Address
Phone number
(719) 633-4033
Established
Firm type
Fiscal year end
# of Employees
68
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,911 |
| AUM (Assets Under Management) | $ 1,353,760,295 |
Red Flags
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Company Information
SUMMIT WEALTH GROUP
CRD#: 335242Memphis, TN 38157TRUST BUT VERIFY
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