Lee E. Kilbrith

PROSPECT FINANCIAL SERVICES LLC

RALEIGH, NC

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CRD#: 3100072

Professional summary

Lee Edward Kilbrith is a registered financial advisor currently at PROSPECT FINANCIAL SERVICES LLC located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Melville, New York.

Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lee has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

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.

1) 11/05/2019 - The Pinnacle Financial Group - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start Date 10/24/19 - 160 hours per month/ 8 hours during trading 2) 7/20/2020 - Prospect Financial Services - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start Date 03/08/1999 - 120 hours per month/ 7 hours during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Edward Kilbrith'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

January 3, 2022 - Present

PROSPECT FINANCIAL SERVICES LLC

RIA

CRD#: 314154

RALEIGH, NC

Current

November 5, 2019 - Present

LPL FINANCIAL LLC

Office #1: 445 Broadhollow Rd Ste Cl-43, Melville, NY 11747

RIA

CRD#: 6413

Melville, NY

Past

August 25, 2021 - December 31, 2021

THE PINNACLE FINANCIAL GROUP

RIA

CRD#: 164395

WEST PALM BEACH, FL

Past

January 6, 2010 - November 8, 2019

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

HUNTINGTON, NY

Past

October 27, 1998 - November 8, 2019

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Melville, 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".

PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154 / SEC#: 801-122193

RIA

Registered Investment Advisory firm - (8/30/2021 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.

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

New York
(11/5/2019)

North Carolina
(10/20/2022)

IAR

North Carolina
(1/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154 / SEC#: 801-122193

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

445 Broad Hollow Road Suite Cl-43, Melville, NY 11747

Mailing Address

Phone number

(631) 424-5218

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPECT FINANCIAL DISCLOSURE BROCHURE (1/31/2025)

Regulatory assets under management

Total Number of Accounts	1,178
AUM (Assets Under Management)	$ 418,143,884

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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Firm Stability Insights

Lee E. Kilbrith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Edward Kilbrith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

THE PINNACLE FINANCIAL GROUP

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

PROSPECT FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/26/1998

FINRA

Current Firm

PROSPECT FINANCIAL SERVICES LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPECT FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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