Ricky A. Lee

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CRD#: 4199155

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ricky Alexander Lee, who also goes by Ricky A. Lee, was a registered financial professional .

Ricky is a previously registered financial professional and started their career in finance in 2000. Ricky had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ricky A. 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2018 - December 5, 2018

ALPHASTAR CAPITAL MANAGEMENT

RIA

CRD#: 157423

Conroe, TX

Past

May 20, 2016 - July 25, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PUYALLUP, WA

Past

April 17, 2013 - June 9, 2015

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

VIERA, FL

Past

February 6, 2007 - April 24, 2012

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

COCOA, FL

Past

August 15, 2006 - October 4, 2006

WADDELL & REED

RIA

CRD#: 866

TACOMA, WA

Past

August 1, 2006 - October 4, 2006

WADDELL & REED

CRD#: 866

TACOMA, WA

Past

August 2, 2004 - December 15, 2005

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

December 9, 2003 - June 14, 2004

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

July 21, 2000 - January 8, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/14/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2000

General Securities Representative Examination

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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Contact information

Main Address

19600 West Catawba Avenue Suite B200, Cornelius, NC 28031

Mailing Address

Phone number

(855) 340-2514

Established

Firm type

Fiscal year end

# of Employees

124

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,592
AUM (Assets Under Management)	$ 1,841,154,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2023	Cover Page	Report
06/27/2023	Cover Page	Report
01/24/2023	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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Firm Stability Insights

Ricky A. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

WADDELL & REED

WADDELL & REED

ONEAMERICA SECURITIES, INC.

SALOMON GREY FINANCIAL CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ALPHASTAR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2006

Series 65

Date: 8/9/2000

Series 63

Date: 8/2/2000

SIE

Date: 7/25/2017

Series 7

Date: 7/20/2000

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHASTAR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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