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LE

Lee S. England

Some features on this profile are disabled
CRD#: 1812140
LE

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 Swindall England, who also goes by Lee S England, Martha Lee England, Lee Nettere, Martha Lee Swindall, Martha Lee Swindall-nettere, was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1990. Lee had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee S England | Martha Lee England | Lee Nettere | Martha Lee Swindall | Martha Lee Swindall-Nettere

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.
The advisor shows no other business activity.

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

October 4, 2017 - May 11, 2022

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

January 24, 2013 - July 27, 2017

SALIENT CAPITAL ADVISORS, LLC

RIA
CRD#: 153914
HOUSTON, TX
Past

January 24, 2013 - July 27, 2017

SALIENT CAPITAL L.P.

BD
CRD#: 147912
HOUSTON, TX
Past

June 1, 2009 - August 16, 2011

MORGAN STANLEY

RIA
CRD#: 149777
STUART, FL
Past

June 1, 2009 - August 16, 2011

MORGAN STANLEY

BD
CRD#: 149777
STUART, FL
Past

August 11, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

August 6, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

November 28, 2006 - May 28, 2008

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

RIA
CRD#: 109355
CAMBRIDGE, MA
Past

November 8, 2002 - May 28, 2008

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

November 7, 2002 - May 28, 2008

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

August 5, 1997 - October 23, 2002

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

January 3, 1994 - February 14, 1997

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

July 31, 1993 - January 13, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 23, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/28/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/3/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 3
Date: 3/19/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination

Current Firm

AW
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
ARES WEALTH MANAGEMENT SOLUTIONS, LLC | REAL ESTATE INCOME SECURITIES, LLC | DIVIDEND CAPITAL SECURITIES, LLC | BLACK CREEK CAPITAL MARKETS, LLC

CRD#: 119546 / SEC#: , 8-65199

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1200 17th Street Suite #2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite #2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Colorado since 12/21/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOUBLE DIAMOND LLCSOLE MEMBER
ADAMSON, CHRISTINA CARSONDESIGNATED PRINCIPAL / CO-CEO5372006
GALLIGAN, CASEY DDESIGNATED PRINCIPAL / CO-CEO4022954
MAGNER, BRIANCHIEF COMPLIANCE OFFICER3069172
MARRONE, MICHAEL THOMASFINOP, PRINCIPAL FINANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER4859949

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

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

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