Kenneth E. Lee

INGALLS INVESTMENT MANAGEMENT

NEW YORK, NY 10020

Some features on this profile are disabled

CRD#: 3085627

Professional summary

Kenneth Ewell Lee is a registered financial advisor currently at INGALLS INVESTMENT MANAGEMENT, LLC located in New York, New York.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kenneth has worked at 3 firms and has passed the Series 63 and Series 7 exams.

At a Glance

Always Fiduciary

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.

Ken Lee is a board member of Inuvo, Inc., a publicly traded company. The business is not investment related. Its main offices are located at 500 President Clinton Avenue, Suite 300, Little Rock, AR 72201. Inuvo is engaged in the business of providing online and traditional advertising, marketing, and communications services. The title of the position is Director. The start date is expected to be sometime during the second quarter of 2022. The approximate number of hours spent on the activity is expected to be less than 10 hours per month with no activities during Ingalls & Snyder's operating hours. As a board member, Mr. Lee will vote and opine on financial and investment related decisions that come before the board.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Ewell Lee'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®

None

Experience

Current

August 10, 2026 - Present

INGALLS INVESTMENT MANAGEMENT, LLC

Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020

RIA

CRD#: 343369

NEW YORK, NY

Past

November 3, 2021 - August 10, 2026

INGALLS & SNYDER, LLC

RIA

CRD#: 2288

NEW YORK, NY

Past

November 11, 1999 - December 6, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

INGALLS INVESTMENT MANAGEMENT, LLC

CRD#: 343369 / SEC#: 801-5016

RIA

Registered Investment Advisory firm - (8/21/1968 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

New York
(8/10/2026)

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

Series 63

Date: 7/31/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/1994

General Securities Representative Examination

Current Firm

INGALLS INVESTMENT MANAGEMENT, LLC

CRD#: 343369 / SEC#: 801-5016

RIA

Registered Investment Advisory firm - (8/21/1968 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Mailing Address

Phone number

(212) 269-7800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IIM_BROCHURE_07012026 (7/24/2026)

Regulatory assets under management

Total Number of Accounts	4,453
AUM (Assets Under Management)	$ 7,826,602,578

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

PARAMUS, NJ

Anthony Macagna

LPL FINANCIAL LLC

IAR

PARAMUS, NJ

Nicholas Rygiel

PROTOCOL WEALTH, LLC

IAR

Havertown, PA

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth E. Lee

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Ewell Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

INGALLS INVESTMENT MANAGEMENT, LLC

INGALLS & SNYDER, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

INGALLS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/2001

Series 7

Date: 12/18/1994

Current Firm

INGALLS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INGALLS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors