KL
Kenneth S. Lee
CLG LLC
Long Beach, CA 90803
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CRD#: 2062276
KL
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.
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) 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.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Scott 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: 2003
Experience
Current
March 25, 2017 - Present
CLG LLC
Office #1: 4821 E 2nd Street, Long Beach, CA 90803RIA
CRD#: 282605
Long Beach, CA
Current
January 2, 2024 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4821 E. 2nd Street, Long Beach, CA 90803BD
CRD#: 35747
Long Beach, CA
Past
June 29, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LONG BEACH, CA
Past
March 25, 2003 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LONG BEACH, CA
Past
February 14, 2003 - December 31, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LONG BEACH, CA
Past
July 9, 1999 - November 22, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SANTA ANA, CA
Past
October 12, 1998 - November 22, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 21, 1995 - October 8, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 10, 1995 - February 15, 1996
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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 - (9/29/2016 Approved)California
Registered Investment Advisory firm - (4/18/2018 Terminated)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
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)
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
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 - (9/29/2016 Approved)California
Registered Investment Advisory firm - (4/18/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4821 E 2nd Street, Long Beach, CA 90803
Mailing Address
Phone number
(310) 329-5150
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,539 |
| AUM (Assets Under Management) | $ 953,822,025 |
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.
