Kevin C. Lee

CENTAURUS FINANCIAL

Anaheim, CA 92806

Some features on this profile are disabled

CRD#: 3143283

Professional summary

Kevin Chong Lee, who also goes by Kevin Lee, Kevin Chong Yi, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Anaheim, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Lee | Kevin Chong Yi

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.

MAKPS, LLC, NON-INVESTMENT RELATED, ANAHEIM, CA 92806, BUYING AND SELLING INVESTMENT REAL ESTATE, MANAGER, SINCE 7/9/2021, DEVOTED TIME IS 10 HOURS A MONTH, MEMBER, MANAGER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Chong Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Chong 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

September 19, 2017 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

RIA

CRD#: 30833

Anaheim, CA

Current

September 15, 2017 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

RIA

CRD#: 30833

Anaheim, CA

Past

June 13, 2011 - September 6, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

September 10, 2009 - March 17, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

IRVINE, CA

Past

August 17, 2009 - March 15, 2010

GORDON CARLSON & ASSOCIATES

RIA

CRD#: 149891

IRVINE, CA

Past

December 5, 2007 - August 20, 2009

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

IRVINE, CA

Past

December 3, 2007 - August 20, 2009

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

IRVINE, CA

Past

April 11, 2007 - June 29, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

March 9, 2005 - January 3, 2007

MCL FINANCIAL GROUP, INC.

CRD#: 41180

SANTA ANA, CA

Past

March 4, 2003 - June 30, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PALO ALTO, CA

Past

December 4, 2002 - June 30, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

California
(9/18/2017)

IAR

California
(9/19/2017)

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

IAR

Series 66

Date: 2/10/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/25/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/3/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

2300 E. Katella Avenue Suite 200, Anaheim, CA 92806

Mailing Address

2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

Phone number

(714) 456-1790

Established

California since 08/27/1992

Firm type

Corporation

Fiscal year end

April

Firm Size

Large

# of Employees

580

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

Direct owners and executive officers

Name	Position	CRD#
FEDERATION OF FINANCIAL SERVICES	OWNER
KREMER, STEPHEN MARK	OWNER	1188829
RUBINO, MICHAEL PETER	OWNER	1188940
DUHOVIC, JEROME VICTOR	DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER	2123754
DUHOVIC, JEROME VICTOR	CHIEF COMPLIANCE OFFICER	2123754
KING, JAMES RONALD SR	DIRECTOR/CHAIRMAN OF THE BOARD/CEO	269927
KING, PAUL J	DIRECTOR/GENERAL COUNSEL	5017845
KING, WESTLEY HAYES	DIRECTOR/PRESIDENT	2527676
LEJMAN, SHERI J	CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER

Regulatory assets under management

Total Number of Accounts	38,049
AUM (Assets Under Management)	$ 7,336,108,151

Disclosures

Regulatory Event	18
Arbitration	8

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

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin C. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Chong Lee's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Chong Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

NEWPORT COAST SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

GORDON CARLSON & ASSOCIATES

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

BROOKSTREET SECURITIES CORPORATION

MCL FINANCIAL GROUP, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2003

SIE

Date: 10/1/2018

Series 31

Date: 1/25/2003

Series 7

Date: 12/3/2002

Series 24

Date: 9/14/2011

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors