Daniel S. Peters
Professional summary
Daniel Scott Peters, who also goes by Dan Peters, is a registered financial advisor currently at LEE FINANCIAL COMPANY, LLC located in Dallas, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Daniel has worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Scott Peters's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2009 - Present
LEE FINANCIAL COMPANY, LLC
Office #1: 8350 N. Central Expressway Suite 1800, Dallas, TX 75206January 10, 2006 - January 6, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
June 2, 2005 - December 31, 2005
JPMORGAN ASSET MANAGEMENT
August 4, 2004 - January 13, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
January 30, 2001 - December 2, 2008
JPMORGAN DISTRIBUTION SERVICES, INC.
April 10, 2000 - December 31, 2000
VICTORY CAPITAL SERVICES, INC.
March 26, 1999 - March 17, 2000
BANC ONE SECURITIES CORPORATION
August 19, 1998 - April 9, 1999
MORGAN STANLEY DW INC.
July 20, 1992 - July 6, 1998
FIFTH THIRD SECURITIES, INC.
March 16, 1992 - April 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/6/2009)
Exams
Current Firm
LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,677 |
| AUM (Assets Under Management) | $ 1,496,621,112 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/23/2023 | ||
| 01/23/2023 |
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.
Company Information
LEE FINANCIAL COMPANY, LLC
CRD#: 105910Dallas, TX 75206TRUST BUT VERIFY
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