AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BL

Benjamin J. Lee

Some features on this profile are disabled
CRD#: 3027861
BL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Benjamin Jon Lee was a registered financial professional .

Benjamin is a previously registered financial professional and started their career in finance in 1998. Benjamin had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 30, 2019 - March 30, 2022

SIXPOINT PARTNERS LLC

BD
CRD#: 146067
NEW YORK, NY
Past

May 11, 2019 - February 25, 2020

PNC FIG ADVISORY, INC.

BD
CRD#: 143093
ALLENTOWN, PA
Past

June 4, 2018 - January 2, 2019

TROUT CAPITAL LLC

BD
CRD#: 131489
NEW YORK, NY
Past

June 4, 2018 - October 21, 2021

HARRIS WILLIAMS

BD
CRD#: 113930
RICHMOND, VA
Past

June 4, 2018 - March 30, 2022

SOLEBURY CAPITAL LLC

BD
CRD#: 143299
NEW HOPE, PA
Past

June 4, 2018 - March 30, 2022

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

February 26, 2018 - March 30, 2022

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
PITTSBURGH, PA
Past

April 23, 1998 - February 8, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 23, 1998 - February 8, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/26/2018
Financial and Operations Principal Examination

Current Firm

SP
SIXPOINT PARTNERS LLC
SIXPOINT INVESTMENTS LLC | SIXPOINT PARTNERS LLC

CRD#: 146067 / SEC#: , 8-67785

BD
Terminated by SEC on 09/30/2023
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
Mailing Address
Phone number
Established
Delaware since 03/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PNC BANK NATIONAL ASSOCIATIONPARENT
PUMPHREY, MARY PATRICIACHIEF COMPLIANCE OFFICER2513345

Disclosures

Regulatory Event1

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.

Company Information

SIXPOINT PARTNERS LLC

CRD#: 146067

TRUST BUT VERIFY

Monitor Benjamin Lee

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics