Brian A. Lee

FIRST ADVISORS NATIONAL

South Elgin, IL

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CRD#: 4154579

Professional summary

Brian Albert Lee is a registered financial advisor currently at FIRST ADVISORS NATIONAL, LLC located in South Elgin, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.

Western & Southern Life - Rosemont, IL - 40 hours - Full Time Sales Agent; BUS-Brian Lee~962 Wyndham Drive, South Elgin, IL 60177~RENTAL PROPERTY~N~PASSIVE OWNER~01-01-2016~0 hrs/mo~0 trading hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Albert 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

January 19, 2022 - Present

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

South Elgin, IL

Past

March 25, 2020 - January 10, 2022

W&S BROKERAGE SERVICES, INC.

RIA

CRD#: 8099

Rosemont, IL

Past

July 13, 2018 - January 10, 2022

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Rosemont, IL

Past

January 25, 2018 - July 12, 2018

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

South Elgin, IL

Past

January 3, 2017 - January 31, 2017

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

NAPERVILLE, IL

Past

January 12, 2016 - January 31, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

NAPERVILLE, IL

Past

May 4, 2004 - February 29, 2016

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

BATAVIA, IL

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".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(1/19/2022)

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

IAR

Series 65

Date: 12/20/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/3/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/18/2016

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

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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Advisor Monitoring

Firm Stability Insights

Brian A. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Albert Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

FIRST ADVISORS NATIONAL, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2016

Series 63

Date: 3/2/2004

SIE

Date: 10/1/2018

Series 6

Date: 5/3/2004

Series 26

Date: 5/18/2016

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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