JL
Joseph V. Lee
MADISON AVENUE SECURITIES
Lewiston, ID 83501
Some features on this profile are disabled
CRD#: 1862862
JL
Professional summary
Joseph Vernon Lee, who also goes by Joe Lee, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Lewiston, Idaho.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Lee
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.
NAME OF BUSINESS: SCHRETTE & LEE FINANCIAL SERVICES, INC. DBA SCHRETTE & LEE WEALTH MANAGEMENT
POSITION: VICE PRESIDENT
NATURE: INVESTMENT RELATED ACTIVITIES
INVESTMENT RELATED: YES
NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 160
START DATE: 6/2002; START DATE DBA 02/2013
ADDRESS: 1407 16TH AVENUE, LEWISTON ID 83501
DESCRIPTION: PERFORM DUTIES RELATED TO INVESTMENT ADVICE AS REGISTERED REPRESENTATIVE AND AN IAR.
NAME OF BUSINESS: SLKF, LLC,YES,1407 16TH AVENUE, LEWISTON, ID 83501,REAL ESTATE HOLDING COMPANY,VICE PRESIDENT, PART OWNER,08/01/2007,40,40,BUY, SELL, AND LEASE COMMERCIAL AND RESIDENTIAL REAL ESTATE.
JOSEPH LEE, INDEPENDENT INSURANCE AGENT,YES,1407 16TH AVE, LEWISTON, ID 83501,FIXED INSURANCE SALES,06/01/2002,160,160,SALES AND SERVICE OF FIXED INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Vernon Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Vernon 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
August 7, 2012 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1407 16th Avenue Suite A, Lewiston, ID 83501Office #2: 1875 N Lakewood Drive Suite 102, Coeur D'alene, ID 83814RIA
BD
CRD#: 23224
Lewiston, ID
Current
August 7, 2012 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1407 16th Avenue Suite A, Lewiston, ID 83501Office #2: 1875 N Lakewood Drive Suite 102, Coeur D'alene, ID 83814RIA
BD
CRD#: 23224
Lewiston, ID
Past
August 2, 2006 - August 9, 2012
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LEWISTON, ID
Past
September 30, 2005 - August 9, 2012
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LEWISTON, ID
Past
December 12, 2003 - September 28, 2005
KOVACK SECURITIES INC.
BD
CRD#: 44848
FT. LAUDERDALE, FL
Past
October 22, 2002 - December 12, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
BD
CRD#: 14146
SPOKANE, WA
Past
May 15, 1998 - May 4, 2001
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
June 5, 1996 - May 15, 1998
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
May 13, 1996 - June 11, 1996
U.S. BANCORP SECURITIES
BD
CRD#: 17439
PORTLAND, OR
Past
April 5, 1994 - May 20, 1996
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
June 17, 1993 - April 7, 1994
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
October 5, 1988 - June 11, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 5, 1988 - June 11, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
California(8/9/2013)
RR
Colorado(3/15/2024)
RR
Idaho(8/7/2012)
IAR
Idaho(8/7/2012)
RR
Minnesota(8/23/2017)
RR
Montana(1/5/2022)
RR
New Mexico(10/5/2023)
RR
Oregon(8/7/2012)
RR
Texas(6/26/2019)
RR
Utah(6/7/2016)
RR
Virginia(5/16/2016)
RR
Washington(8/8/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
