Lesley J. Brey

L.J. BREY

HONOLULU, HI

Some features on this profile are disabled

CRD#: 2813196

Professional summary

Lesley Jean Brey, AIF®, CFP® is a registered financial advisor currently at L.J. BREY, INC. located in Honolulu, Hawaii.

Lesley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Lesley has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

What are your service offerings?

L.J. Brey

Inc. provides life-based finan...

Do you have an area of expertise or specialization?

Estate & Generational Planning...

Investment Advice with Ongoing...

Retirement Planning & Distribu...

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.

Chaminade University of Honolulu, non-investment related, 3140 Waialae Ave., Honolulu, HI 96816. Title: Regent, beginning 9/2014. As Regent, attend Board of Regent meetings and events. Provide comment or discussion regarding governance issues. Spend approximately 1-2% of time engaged in these activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lesley Jean Brey's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

January 27, 1997 - Present

L.J. BREY, INC.

RIA

CRD#: 113996

HONOLULU, HI

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.

Highlighted states indicate IAR registrations

IAR

Hawaii
(1/27/1997)

IAR

Texas
(5/17/2007)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/1996

Uniform Investment Adviser Law Examination

Current Firm

L.J. BREY, INC.

CRD#: 113996 / SEC#: 801-134762

California

Registered Investment Advisory firm - (11/13/2015 Terminated)

Hawaii

Registered Investment Advisory firm - (7/3/2012 Approved)

Texas

Registered Investment Advisory firm - (5/17/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Honolulu, HI

Mailing Address

Phone number

(808) 526-2644

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REPRESENTATIVE DISCLOSURE DOCUMENT (10/15/2025)

FIRM DISCLOSURE DOCUMENT (10/15/2025)

Regulatory assets under management

Total Number of Accounts	238
AUM (Assets Under Management)	$ 113,315,601

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lesley J. Brey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lesley Jean Brey's CRS (Customer Relationship Summary).

Certified licenses

Experience

L.J. BREY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/1996

Current Firm

L.J. BREY, INC.

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

L.J. BREY, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors