LL
Lawton W. Lee
CETERA INVESTMENT ADVISERS LLC
HONOLULU, HI 96814
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CRD#: 3031984
LL
Professional summary
Lawton Wade Lee, who also goes by Lawton W Lee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honolulu, Hawaii and CETERA WEALTH SERVICES, LLC located in Honolulu, Hawaii.
Lawton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lawton has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lawton W 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.
1) ACEL, LLC~'NIR'~1314 S King St, Ste 1153~Honolulu~HI~96814~Real Estate/Mortgage (I.E. Sales Agent/Broker, Mortgage Originator)~Owner~5/29/2002~40hrs~20hrs~Office administration including maintaining the books and records, maintaining and updating computer systems and technology, and meeting with customers seeking a mortgage loan for purchase or refinance. 2) Business Integration Group, Inc.~'NIR'~1314 S. King St, Ste 1153~Honolulu~HI~96814~Accounting Services/Tax Preparation~Owner~11/1/2011~40hrs~40hrs~Office administration and tax preparation. 3) L.W. Lee Financial Services, LLC~'NIR'~1314 S King St, Ste 1153~Honolulu~HI~96814~Professional Services - Business/Individual~Owner/Sole Proprietor~7/1/2002~1hrs~0hrs~Manager 4) Ronald Lee & Associates, Inc.~'NIR'~1314 S King St, Ste 1155~Honolulu~HI~96814~Accounting Services/Tax Preparation~Owner~9/16/2014~150hrs~150hrs~Meeting with clients, preparing Tax Returns, preparing Financial Statements. 5) MORTGAGE UNLIMITED POSITION: Office Manager NATURE: This is a dba Trade Name for ACEL, LLC which is already registered as an OBA. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/29/2002 ADDRESS: 1314 S King St, Suite 1153, Honolulu HI 96814, United States DESCRIPTION: This is a dba Trade Name for ACEL, LLC which is already registered as an OBA. 6) PROCESSORS PRO POSITION: Office Manager NATURE: This is a dba Trade Name for ACEL, LLC which is already registered as an OBA.? INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/29/2002 ADDRESS: 1314 S King St, Suite 1153, Honolulu HI 96814, United States DESCRIPTION: This is a dba Trade Name for ACEL, LLC which is already registered as an OBA.
CRS (Client Relationship Summary) - RIA
Click below to view Lawton Wade 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1314 S King St Suite 1153, Honolulu, HI 96814RIA
CRD#: 105644
HONOLULU, HI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1314 S King St Suite 1153, Honolulu, HI 96814BD
CRD#: 13572
HONOLULU, HI
Past
December 8, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Honolulu, HI
Past
December 21, 2007 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HONOLULU, HI
Past
April 12, 2002 - February 26, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
October 21, 1998 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
California(9/5/2025)
RR
Hawaii(9/5/2025)
IAR
Hawaii(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
