Richard R. Lee

LEE FINANCIAL COMPANY

Dallas, TX 75206

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CRD#: 305422

Professional summary

Richard Rochester Lee JR, CFP®, who also goes by Richie Lee, is a registered financial advisor currently at LEE FINANCIAL COMPANY, LLC located in Dallas, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 1 firm and has passed the Series 3 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richie 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.

RICHARD LEE IS ON THE BOARD OF DIRECTORS OF WYNNE/JACKSON INC., A REAL ESTATE DEVELOPMENT FIRM LOCATED AT 600 N. PEARL STREET, SUITE 650, DALLAS, TX 75201 AND IS COMPENSATED FOR HIS SERVICES. MR. LEE HAS NOT DEVOTED ANY TIME TO THIS BOARD IN SEVERAL YEARS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Rochester Lee JR'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

January 15, 1988 - Present

LEE FINANCIAL COMPANY, LLC

Office #1: 8350 N. Central Expressway, Suite 1800, Dallas, TX 75206

RIA

CRD#: 105910

Dallas, TX

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".

LEE FINANCIAL COMPANY, LLC

LEE FINANCIAL COMPANY | LEE FINANCIAL CORPORATION | LEE FINANCIAL CORP | LEE FINANCIAL COMPANY, LLC

CRD#: 105910 / SEC#: 801-10722

RIA

Registered Investment Advisory firm - (4/26/1975 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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/15/1988)

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

General Industry/Product Exam

Series 3

Date: 10/22/1996

National Commodity Futures Examination

Current Firm

LEE FINANCIAL COMPANY, LLC

LEE FINANCIAL COMPANY | LEE FINANCIAL CORPORATION | LEE FINANCIAL CORP | LEE FINANCIAL COMPANY, LLC

CRD#: 105910 / SEC#: 801-10722

RIA

Registered Investment Advisory firm - (4/26/1975 Approved)

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Contact information

Main Address

8350 N. Central Expressway Suite 1800, Dallas, TX 75206

Mailing Address

Phone number

(972) 960-1001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFC ADV PART 2A - 3.2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	1,677
AUM (Assets Under Management)	$ 1,496,621,112

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/23/2023	Cover Page	Report
01/23/2023	Cover Page	Report

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.

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Richard R. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Rochester Lee JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEE FINANCIAL COMPANY, LLC

Primary Firm SEC Registration

LEE FINANCIAL COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 3

Date: 10/22/1996

Current Firm

LEE FINANCIAL COMPANY, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEE FINANCIAL COMPANY, LLC

TRUST BUT VERIFY

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