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KL

Kenneth Scott Lee

CFP®

CLG

LONG BEACH, CA

·CRD# 2062276·31 years experience

Professional Summary

Kenneth Scott Lee, CFP® is a registered financial advisor currently at CLG LLC located in Long Beach, California and PURSHE KAPLAN STERLING INVESTMENTS located in Long Beach, California. Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kenneth has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®

Certified Financial PlannerSince 2003

Years of Experience

31 years in the financial services industry

Current & Past Employments

CLG LLC·CRD# 282605

RIA

4821 E 2nd Street, Long Beach, CA 90803

March 25, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS·CRD# 35747

BD

4821 E. 2nd Street, Long Beach, CA 90803

January 2, 2024 - Present

CETERA INVESTMENT ADVISERS LLC·CRD# 105644

RIA

Long Beach, CA

June 29, 2023 - December 31, 2023

CETERA WEALTH SERVICES, LLC·CRD# 13572

RIA

Long Beach, CA

March 25, 2003 - June 29, 2023

CETERA WEALTH SERVICES, LLC·CRD# 13572

BD

Long Beach, CA

February 14, 2003 - December 31, 2023

MORGAN STANLEY DW INC.·CRD# 7556

RIA

Santa Ana, CA

July 9, 1999 - November 22, 2002

MORGAN STANLEY DW INC.·CRD# 7556

BD

Purchase, NY

October 12, 1998 - November 22, 2002

PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471

BD

New York, NY

December 21, 1995 - October 8, 1998

INTERFIRST CAPITAL CORPORATION·CRD# 7659

BD

Los Angeles, CA

October 10, 1995 - February 15, 1996

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Current Firm

CL

CLG LLC

CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT

CRD#: 282605 / SEC#: 801-108414

RIA

Registered Investment Advisory firm - SEC (9/29/2016 Approved)

California

Registered Investment Advisory firm - California (4/18/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

4821 E 2nd Street, Long Beach, CA 90803

Phone Number

(310) 329-5150

# of Employees

35

SEC notice filing (23 States and Territories)

Registered to provide investment advisory services in 23 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (8/3/2026)

Regulatory Assets Under Management

Total Number of Accounts

2,771

AUM (Assets Under Management)

$1,123,681,197

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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) NAME OF OTHER BUSINESS:CLG, LLC / INVESTMENT RELATED: YES / ADDRESS: SAME AS REGISTERED LOCATION / NATURE OF BUSINESS: ADVISORY BUSINESS / POSITION/TITLE/ RELATIONSHIP: ADVISORY REPRESENTATIVE / START DATE: 03/23/17 / APX NUMBER OF HOURS PER WEEK: 20 / APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: FEE BASED FINANCIAL PLANNING

(2) NAME OF OTHER BUSINESS: CLG, LLC / INVESTMENT RELATED: YES / ADDRESS: SAME AS REGISTERED LOCATION / NATURE OF BUSINESS: FINANCIAL SERVICES / START DATE: 03/23/17 / POSITION/TITLE/RELATIONSHIP: ADVISORY ASSOCIATE / APX NUMBER OF HOURS PER WEEK: 20 / APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ;

(3) NAME OF OTHER BUSINESS: BLUE PIG INC ;/ INVESTMENT RELATED: NO / ADDRESS: SAHARA AVE, LAS VEGAS, NV 89102 / NATURE OF BUSINESS: RENTAL PROPERTY / START DATE: 09/2021 ; POSITION/TITLE/RELATIONSHIP: AUTHORIZED SIGNER / ASSISTANT / APX NUMBER OF HOURS PER WEEK: MINIMAL / APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL ; BRIEF DESCRIPTION OF DUTIES: ASSISTING IN REPAIRS AND MAINTENANCE TO PROPERTY. ALSO AUTHORIZED TO SIGN ON BEHALF OF CORPORATION ;

(4) NAME OF OTHER BUSINESS: MCG GLENDALE AVE LLC ;/ INVESTMENT RELATED: NO / ADDRESS: SAHARA AVE, LAS VEGAS, NV 89102 / NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 09/2021 / POSITION/TITLE/RELATIONSHIP: AUTHORIZED SIGNER / ASSISTANT / APX NUMBER OF HOURS PER WEEK: MINIMAL / APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL / BRIEF DESCRIPTION OF DUTIES: ASSISTING IN REPAIRS AND MAINTENANCE TO PROPERTY. ALSO AUTHORIZED TO SIGN ON BEHALF OF CORPORATION ;

(5) NAME OF OTHER BUSINESS: SUPER AG, LTD / INVESTMENT RELATED: NO, / ADDRESS: 3540 W SAHARA AVE, # 214, LAS VEGAS, NV, 89102 / NATURE OF BUSINESS: REAL ESTATE, START DATE: 11/2021 / POSITION/TITLE/RELATIONSHIP: PARTNER / APX NUMBER OF HOURS PER WEEK: VARIES / APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: MAINTAIN AND INTERACT WITH PROPERTY MANAGER, FAMILY OWNED 4PLEX;

(6) Fixed Insurance. Investment Related. At registered location. Fixed/traditional insurance. Agent. 1/2024. 10 hrs/month all during trading hours. Provide insurance advice based on the needs of clients.

(7) PKSF. Investment Related. At registered location. Fixed/traditional insurance. Agent. 1/2024. 10 hrs/month all during trading hours. Provide insurance advice based on the needs of clients.

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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".

CL

CLG LLC

CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT

CRD#: 282605 / SEC#: 801-108414

RIA

Registered Investment Advisory firm - SEC (9/29/2016 Approved)

California

Registered Investment Advisory firm - California (4/18/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

IAR

California
(3/25/2017)

RR

California
(1/2/2024)

RR

Michigan
(1/2/2024)

RR

Nevada
(1/2/2024)

RR

North Carolina
(1/2/2024)

RR

Oregon
(1/2/2024)

RR

Pennsylvania
(1/2/2024)

RR

Washington
(1/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Feb 1996About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1995About the Series 7 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Scott Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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KL

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