David R. Lee
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.
David Richard Lee, CFP®, who also goes by Dave Lee, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2024 - October 30, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
November 12, 2021 - March 15, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 19, 2013 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 2007 - March 18, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 18, 2002 - November 20, 2006
RETIREMENT MONEY MANAGEMENT
August 31, 1994 - September 13, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
