Lea P. Highet

DOUGLASS WINTHROP ADVISORS LLC

New York, NY 10175

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CRD#: 2556911

Professional summary

Lea Paine Highet, who also goes by Lea Warren Paine, is a registered financial advisor currently at DOUGLASS WINTHROP ADVISORS LLC located in New York, New York.

Lea is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Lea has worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lea Warren Paine

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.

TRUSTEE OF PAINE MEMORIAL FREE LIBRARY, WILLSBORO,NY 12996

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lea Paine Highet's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 31, 2021 - Present

DOUGLASS WINTHROP ADVISORS LLC

Office #1: 521 Fifth Avenue 19th Floor, New York, NY 10175

RIA

CRD#: 108680

New York, NY

Past

March 24, 1995 - January 30, 1996

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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".

DOUGLASS WINTHROP ADVISORS LLC

CRD#: 108680 / SEC#: 801-56993

RIA

Registered Investment Advisory firm - (11/9/1999 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New York
(8/31/2021)

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: 11/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/18/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DOUGLASS WINTHROP ADVISORS LLC

CRD#: 108680 / SEC#: 801-56993

RIA

Registered Investment Advisory firm - (11/9/1999 Approved)

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Contact information

Main Address

521 Fifth Avenue 19th Floor, New York, NY 10175

Mailing Address

Phone number

(212) 557-7680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DWA ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,292
AUM (Assets Under Management)	$ 5,822,615,954

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/29/2025	Cover Page	Report
07/29/2024	Cover Page	Report
09/06/2023	Cover Page	Report
01/09/2023	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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Lea P. Highet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lea Paine Highet's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUGLASS WINTHROP ADVISORS LLC

UST FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

DOUGLASS WINTHROP ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/10/1994

Series 6

Date: 11/18/1994

Current Firm

DOUGLASS WINTHROP ADVISORS LLC

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DOUGLASS WINTHROP ADVISORS LLC

TRUST BUT VERIFY

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