Lee R. Forker

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CRD#: 211245

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 Robinson Forker JR was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1972. Lee had worked at 6 firms and has passed the Series 63, Series 1, Series 27, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

April 15, 1994 - July 30, 2025

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

RIA

CRD#: 110739

BOSTON, MA

Past

April 9, 1980 - April 27, 2007

DRAKE SECURITIES CORP.

CRD#: 8244

BOSTON, MA

Past

December 13, 1979 - June 1, 1980

BERG SECURITIES, INC.

CRD#: 5903

Past

September 15, 1978 - November 3, 1979

FIRST NEW ENGLAND SECURITIES CORPORATION

CRD#: 7107

Past

May 24, 1977 - February 15, 1979

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

Past

January 5, 1972 - June 2, 1973

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

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".

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

CRD#: 110739 / SEC#: 801-14380

RIA

Registered Investment Advisory firm - (2/16/1979 Approved)

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.

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.

Exams

State Security Law Exam

Series 63

Date: 11/29/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 12/21/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/15/1983

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/8/1980

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 5/14/1977

Registered Principal Examination

Current Firm

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

CRD#: 110739 / SEC#: 801-14380

RIA

Registered Investment Advisory firm - (2/16/1979 Approved)

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Contact information

Main Address

53 West Jackson Blvd 603, Chicago, IL 60604

Mailing Address

Phone number

(312) 212-1704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 285,171,832

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/23/2024	Cover Page	Report
10/17/2023	Cover Page	Report

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.

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Firm Stability Insights

Lee R. Forker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DRAKE SECURITIES CORP.

BERG SECURITIES, INC.

FIRST NEW ENGLAND SECURITIES CORPORATION

FUNDS DISTRIBUTOR, LLC

KIDDER, PEABODY & CO., INCORPORATED

Primary Firm SEC Registration

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/29/1989

Series 1

Date: 12/21/1971

Series 27

Date: 10/15/1983

Series 4

Date: 7/8/1980

Series 40

Date: 5/14/1977

Current Firm

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

TRUST BUT VERIFY

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