Kevin J. Lee

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CRD#: 2316331

Professional summary

Kevin James Lee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Kevin had worked at 8 firms, which includes MARTIN NELSON & CO. INC., CAPITAL FINANCIAL SERVICES INC., KMS FINANCIAL SERVICES INC., RICHARD B. VANCE & COMPANY, CAMBRIDGE INVESTMENT RESEARCH INC., ENERIC FINANCIAL SERVICES INC., QUEST CAPITAL STRATEGIES INC., SENTRA SECURITIES CORPORATION.

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

June 11, 2015 - April 7, 2017

MARTIN NELSON & CO., INC.

CRD#: 2903

Lake Oswego, OR

Past

March 17, 2015 - June 1, 2015

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Corvallis, OR

Past

December 19, 2003 - August 15, 2014

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

CORVALLIS, OR

Past

February 1, 2001 - December 31, 2001

RICHARD B. VANCE & COMPANY

CRD#: 3656

JOLIET, IL

Past

January 16, 1996 - December 2, 1998

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

November 6, 1995 - December 31, 1995

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

June 24, 1994 - November 10, 1995

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

May 26, 1993 - January 19, 1996

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

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".

MARTIN NELSON & CO., INC.

CRD#: 2903 / SEC#: 801-123009, 8-831

RIA

Registered Investment Advisory firm - SEC (1/11/2022 Approved)

Oregon

Registered Investment Advisory firm - SEC (11/24/2020 Terminated)

Washington

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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: 3/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/1996

General Securities Principal Examination

Current Firm

MARTIN NELSON & CO., INC.

CRD#: 2903 / SEC#: 801-123009, 8-831

RIA

Registered Investment Advisory firm - SEC (1/11/2022 Approved)

Oregon

Registered Investment Advisory firm - SEC (11/24/2020 Terminated)

Washington

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

Mailing Address

1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

Phone number

(206) 682-6261

Established

Washington since 04/01/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2 2025 (2/4/2025)

Direct owners and executive officers

Name	Position	CRD#
NELSON, MARTIN OLIVER JR	PRESIDENT/CCO	346215
KOENIG, SABINE ERIKA REGINA	SECRETARY/TREASURER	3257471
MACARTNEY, SCOTT THOMAS	VICE PRESIDENT	7445713
NELSON, VICKI ANN	DIRECTOR	3203773
ROEBKE, FREDERIC LOUIS	VICE PRESIDENT	3257470

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 260,010,706

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kevin J. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

RICHARD B. VANCE & COMPANY

CAMBRIDGE INVESTMENT RESEARCH, INC.

ENERIC FINANCIAL SERVICES, INC.

QUEST CAPITAL STRATEGIES, INC.

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

MARTIN NELSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/2001

SIE

Date: 4/7/2017

Series 7

Date: 1/30/2001

Series 24

Date: 12/10/1996

Current Firm

MARTIN NELSON & CO., INC.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MARTIN NELSON & CO., INC.

TRUST BUT VERIFY

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