FL
Faith Lee
SYNDICATED CAPITAL
Diamond Bar, CA 91765
Some features on this profile are disabled
CRD#: 2715226
FL
Professional summary
Faith Lee, who also goes by Faith Li Lee, is a registered financial advisor currently at SYNDICATED CAPITAL, INC. located in Diamond Bar, 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 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Faith Li Lee
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 Faith Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Faith 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
June 18, 2009 - Present
SYNDICATED CAPITAL, INC.
Office #1: 21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765RIA
BD
CRD#: 29037
Diamond Bar, CA
Current
July 9, 2003 - Present
SYNDICATED CAPITAL, INC.
Office #1: 21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765RIA
BD
CRD#: 29037
Diamond Bar, CA
Past
April 12, 2002 - December 18, 2002
NEXA SECURITIES
BD
CRD#: 15621
PASADENA, CA
Past
February 5, 2001 - October 1, 2001
COMERICA SECURITIES
BD
CRD#: 17079
DETROIT, MI
Past
November 16, 1999 - February 1, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
BD
CRD#: 17529
FARMINGTON HILLS, MI
Past
November 10, 1998 - October 18, 1999
FIRSTRADE SECURITIES INC.
BD
CRD#: 16843
FLUSHING, NY
Past
March 11, 1996 - November 21, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 11, 1996 - November 21, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (12/11/2025 Termination Requested)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
California(7/9/2003)
IAR
California(6/18/2009)
RR
Delaware(3/21/2005)
RR
Florida(10/29/2010)
RR
Kentucky(6/22/2005)
RR
Louisiana(6/22/2005)
RR
Michigan(6/22/2005)
RR
Nebraska(6/22/2005)
RR
Nevada(6/22/2005)
RR
North Dakota(6/22/2005)
RR
Puerto Rico(6/22/2005)
RR
South Carolina(6/22/2005)
RR
Virginia(6/22/2005)
RR
West Virginia(6/22/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (12/11/2025 Termination Requested)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765
Mailing Address
P. O. Box 274, Brea, CA 92822
Phone number
(310) 751-7098
Established
California since 02/24/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
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 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
