LW
Lee J. Whittles
SCS
Bellevue, WA 98004
Some features on this profile are disabled
CRD#: 1955164
LW
Professional summary
Lee James Whittles, CFP® is a registered financial advisor currently at SCS located in Bellevue, Washington and LPL FINANCIAL LLC located in Bellevue, Washington.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Lee has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Estate Planning
Insurance Planning
Retirement Planning
Employee and Employer Plan Ben...
What is your minimum asset requirement?
1
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) 03/10/2015 - NORTHWESTSCS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - AT REPORTED BUSINESS LOCATION(S) - START 02/20/2015 - 160 HR/MO 140 DURING SECS TRDG HRS.
2) 3/19/2015: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SCS - STARTED 12/15/2014 - INVESTMENT RELATED - 160 HOURS PER MONTH/80 HOURS DURING TRADING - 200 112TH AVE NE #205, BELLEVUE, WA 98004.
3) 11/14/2016: Missiori Ridge Ski Patrol - Not Investment Related - 7500 Mission Ridge Road, Wenatchee, WA 98801 - Outside/W-2 Employment - Started 10/11/2016 - 20 Hours Per Month/0 Hours During Securities Trading - Paid Pro Ski Patroller.
4) 1/13/2021 - Bensler, LLC - DBA: (Hybrid) SCS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 12/07/2020 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through SCS, an independent investment advisor firm. I started this business activity in 12/2020. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Lee James Whittles'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: 2007
Experience
Current
December 3, 2020 - Present
SCS
Office #1: 10900 Ne 8th Street 15th Floor - Suite 1550, Bellevue, WA 98004RIA
CRD#: 310849
Bellevue, WA
Current
March 15, 2013 - Present
LPL FINANCIAL LLC
Office #1: 10900 Ne 8th St.15th Fl #1550, Bellevue, WA 98004RIA
BD
CRD#: 6413
Bellevue, WA
Past
March 15, 2013 - March 9, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 5, 2007 - February 28, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SEATTLE, WA
Past
July 7, 1989 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
July 7, 1989 - February 28, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SEATTLE, WA
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".
SC
SCS
BENSLER, LLC | SOUND CONSULTING SERVICES | SCS
CRD#: 310849 / SEC#: 801-119764
RIA
Registered Investment Advisory firm - (11/9/2020 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.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
Arizona(4/1/2013)
RR
Colorado(5/14/2018)
RR
Idaho(11/7/2023)
RR
Virginia(1/3/2019)
RR
Washington(3/15/2013)
IAR
Washington(12/3/2020)
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
SC
SCS
BENSLER, LLC | SOUND CONSULTING SERVICES | SCS
CRD#: 310849 / SEC#: 801-119764
RIA
Registered Investment Advisory firm - (11/9/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10900 Ne 8th Street 15th Floor - Suite 1550, Bellevue, WA 98004
Mailing Address
Phone number
(425) 452-1222
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,472 |
| AUM (Assets Under Management) | $ 1,637,626,061 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
