Faith Lee
Professional Summary
Faith Lee, who also goes by Faith Li Lee, is a registered financial advisor currently at SYNDICATED CAPITAL, INC. located in Brea, California. Faith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Faith has worked at 7 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 53, Series 4 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Faith Li Lee
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
SYNDICATED CAPITAL, INC.
Contact Information
Main Address
135 S State College Blvd. Suite 111, Diamond Bar, CA 91765Mailing Address
P. O. Box 274, Brea, CA 92822Phone Number
(310) 751-7098Established
California since 02/24/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
12FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | — |
| BAINES AND MCADAMS LIVING TRUST | OWNER | — |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory Assets Under Management
Total Number of Accounts
465AUM (Assets Under Management)
$141,993,039Disclosures
Regulatory Event
4Arbitration
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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.
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Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
State Registrations and Notice Filings
(7/9/2003)
(6/18/2009)
(3/21/2005)
(10/29/2010)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
(6/22/2005)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Faith Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Faith Lee's CRS (Customer Relationship Summary).
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