CL
Chad M. Lea
STRATEGIC WEALTH GROUP
Eden Prairie, MN 55347
Some features on this profile are disabled
CRD#: 2707097
CL
Professional summary
Chad Mitchell Lea is a registered financial advisor currently at STRATEGIC WEALTH GROUP located in Eden Prairie, Minnesota and LPL FINANCIAL LLC located in Eden Prairie, Minnesota.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Chad has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
1. 10/31/2019 - Strategic Wealth Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/11/2019 - Strategic Wealth Group RIA - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 111/1/2019 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Strategic Wealth Group Registered Investment Advisor, LLC, an independent investment advisor firm. I started this business activity in 11/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 12/12/2019 - Strategic Wealth Group Registered Investment Advisor, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/01/2019 - 160 Hours Per Month During Securities Trading. 4. 09/21/2022 - Strategic Tax Group - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Client Relation Specialist - Start Date - 09/12/2022 - 5 Hours Per Month/5 Hours During Securities Trading 5. 12/01/2022 - Strategic Wealth Group - DBA: Running Wealth Management Group - Investment Related - Registered Investment Advisor DBA - IAR - Start Date - 11/14/2022 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Running Wealth Management Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 12/15/2022 - Strategic Wealth Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 12/12/2022 - 160 Hours Per Month/160 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Chad Mitchell Lea'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 3, 2019 - Present
STRATEGIC WEALTH GROUP
Office #1: 7820 Terrey Pine Ct, #200, Eden Prairie, MN 55347RIA
CRD#: 284430
Eden Prairie, MN
Current
October 31, 2019 - Present
LPL FINANCIAL LLC
Office #1: 7820 Terrey Pine Court #200, Eden Prairie, MN 55347RIA
BD
CRD#: 6413
Eden Prairie, MN
Past
February 14, 2014 - November 1, 2019
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
WEST DES MOINES, IA
Past
December 12, 2011 - September 4, 2012
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
August 26, 2009 - July 12, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
BLOOMINGTON, MN
Past
May 1, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
BLOOMINGTON, MN
Past
May 1, 2003 - August 14, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BLOOMINGTON, MN
Past
February 16, 1996 - May 1, 2003
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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".
SW
STRATEGIC WEALTH GROUP
ARCH ASSET MANAGEMENT | VALOR FINANCIAL PARTNERS, LLC | STRATEGIC WEALTH GROUP REGISTERED INVESTMENT ADVISORS, LLC | STRATEGIC WEALTH GROUP REGISTERED INVESTMENT ADVISOR, LLC | STRATEGIC WEALTH GROUP | STONECREEK FINANCIAL | SALT FINANCIAL | RUNNING WEALTH MANAGEMENT GROUP | RJ ADVISORS CO. | INTEGRATED CAPITAL PARTNERS LLC | FIDUCIARY MANAGEMENT GROUP INC. | DOYLE & ASSOCIATES | DITTRICH FINANCIAL GROUP | DAVID PETERSON, CFP | BOYUM BARENSCHEER WEALTH MANAGEMENT
CRD#: 284430 / SEC#: 801-108208
RIA
Registered Investment Advisory firm - (8/2/2016 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.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
Arizona(4/30/2020)
RR
Colorado(4/30/2020)
RR
Florida(4/7/2020)
RR
Iowa(4/7/2020)
RR
Minnesota(10/31/2019)
IAR
Minnesota(12/3/2019)
RR
Nebraska(5/1/2020)
RR
North Carolina(4/8/2020)
RR
Wisconsin(3/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
STRATEGIC WEALTH GROUP
ARCH ASSET MANAGEMENT | VALOR FINANCIAL PARTNERS, LLC | STRATEGIC WEALTH GROUP REGISTERED INVESTMENT ADVISORS, LLC | STRATEGIC WEALTH GROUP REGISTERED INVESTMENT ADVISOR, LLC | STRATEGIC WEALTH GROUP | STONECREEK FINANCIAL | SALT FINANCIAL | RUNNING WEALTH MANAGEMENT GROUP | RJ ADVISORS CO. | INTEGRATED CAPITAL PARTNERS LLC | FIDUCIARY MANAGEMENT GROUP INC. | DOYLE & ASSOCIATES | DITTRICH FINANCIAL GROUP | DAVID PETERSON, CFP | BOYUM BARENSCHEER WEALTH MANAGEMENT
CRD#: 284430 / SEC#: 801-108208
RIA
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Contact information
Main Address
7820 Terrey Pine Ct, #200, Eden Prairie, MN 55347
Mailing Address
Phone number
(952) 843-4944
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,029 |
| AUM (Assets Under Management) | $ 1,029,281,614 |
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.
