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EL

Eric Lee

CRD#: 2630976
Some features on this profile are disabled
EL
Eric 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.

Eric Lee was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2005. Eric had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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 13, 2026 - May 15, 2026

AQUA CAPITAL ADVISORS

RIA
CRD#: 151887
LOS ANGELES, CA
Past

August 11, 2010 - January 17, 2017

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 31, 2005 - June 1, 2010

UBS SECURITIES LLC

BD
CRD#: 7654
LOS ANGELES, CA

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".
AC
AQUA CAPITAL ADVISORS
AQUA CAPITAL ADVISORS | AQUA CAPITAL ADVISORS LLC

CRD#: 151887 / SEC#: 801-130676

RIA
Registered Investment Advisory firm - (7/12/2024 Approved)
California
Registered Investment Advisory firm - (8/17/2024 Terminated)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2005
General Securities Representative Examination

Current Firm

AC
AQUA CAPITAL ADVISORS
AQUA CAPITAL ADVISORS | AQUA CAPITAL ADVISORS LLC

CRD#: 151887 / SEC#: 801-130676

RIA
Registered Investment Advisory firm - (7/12/2024 Approved)
California
Registered Investment Advisory firm - (8/17/2024 Terminated)
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Contact information

Main Address
1901 Avenue Of The Stars Suite 1005, Los Angeles, CA 90067
Mailing Address
Phone number
(310) 492-9680
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AQUA CAPITAL ADVISORS FORM ADV PART 2A & 2B SUPPLEMENTS (3/20/2025)

Regulatory assets under management

Total Number of Accounts153
AUM (Assets Under Management)$ 122,449,039

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

AQUA CAPITAL ADVISORS

CRD#: 151887

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