KL
Kerry D. Lee
ALTAMIRA FINANCIAL GROUP
SANTA FE, NM 87505
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CRD#: 2688537
KL
Professional summary
Kerry Douglas Lee is a registered financial advisor currently at ALTAMIRA FINANCIAL GROUP, LLC located in Santa Fe, New Mexico and LPL FINANCIAL LLC located in Santa Fe, New Mexico.
Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kerry has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kerry Douglas Lee's 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®
NoneExperience
Current
December 21, 2021 - Present
ALTAMIRA FINANCIAL GROUP, LLC
Office #1: 1012 Marquez Place Unit 204a, Santa Fe, NM 87505RIA
CRD#: 316907
SANTA FE, NM
Current
January 1, 2011 - Present
LPL FINANCIAL LLC
Office #1: 1012 Marquez Pl #204a, Santa Fe, NM 87505RIA
BD
CRD#: 6413
Santa Fe, NM
Past
March 31, 2014 - January 3, 2022
FINANCIAL PARTNERS, LLC
RIA
CRD#: 170002
SANTA FE, NM
Past
January 31, 2011 - October 29, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA FE, NM
Past
February 20, 1996 - September 9, 2005
THORNBURG SECURITIES LLC
BD
CRD#: 14857
SANTA FE, NM
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".
AF
ALTAMIRA FINANCIAL GROUP, LLC
ALTAMIRA FINANCIAL GROUP, LLC
CRD#: 316907 / SEC#: 801-132045
RIA
Registered Investment Advisory firm - (3/3/2025 Approved)California
Registered Investment Advisory firm - (4/3/2025 Terminated)Colorado
Registered Investment Advisory firm - (3/5/2025 Terminated)New Mexico
Registered Investment Advisory firm - (3/4/2025 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/11/2016)
RR
Arizona(11/11/2016)
RR
California(2/2/2011)
IAR
California(3/2/2022)
RR
Colorado(11/11/2016)
IAR
Colorado(3/1/2022)
RR
Connecticut(11/11/2016)
RR
Florida(11/11/2016)
RR
Georgia(12/20/2022)
RR
Illinois(1/3/2022)
RR
Indiana(2/23/2021)
RR
Maryland(2/23/2021)
RR
Massachusetts(2/23/2021)
RR
Michigan(2/23/2021)
RR
Minnesota(2/2/2011)
RR
Missouri(5/8/2024)
RR
Nevada(2/2/2011)
RR
New Mexico(1/31/2011)
IAR
New Mexico(12/21/2021)
RR
New York(11/11/2016)
RR
North Carolina(11/14/2016)
RR
Oklahoma(11/11/2016)
RR
Oregon(8/22/2016)
RR
South Dakota(3/1/2022)
RR
Texas(1/23/2013)
RR
Vermont(12/19/2016)
RR
Virginia(11/11/2016)
RR
Washington(11/11/2016)
RR
West Virginia(11/11/2016)
RR
Wisconsin(3/17/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALTAMIRA FINANCIAL GROUP, LLC
ALTAMIRA FINANCIAL GROUP, LLC
CRD#: 316907 / SEC#: 801-132045
RIA
Registered Investment Advisory firm - (3/3/2025 Approved)California
Registered Investment Advisory firm - (4/3/2025 Terminated)Colorado
Registered Investment Advisory firm - (3/5/2025 Terminated)New Mexico
Registered Investment Advisory firm - (3/4/2025 Terminated)PREMIUM
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Contact information
Main Address
1012 Marquez Place Unit 204a, Santa Fe, NM 87505
Mailing Address
Phone number
(505) 477-3334
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 201 |
| AUM (Assets Under Management) | $ 115,920,360 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALTAMIRA FINANCIAL GROUP, LLC
CRD#: 316907Santa Fe, NM 87505TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
