EL
Erin M. Lee
BOK FINANCIAL SECURITIES
Fort Worth, TX 76102
Some features on this profile are disabled
CRD#: 4261173
EL
Professional summary
Erin Melissa Finley Lee, who also goes by Erin Melissa Finley, Erin Finley Lee, Erin Melissa Finley Lee, Erin Melissa Lee, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Fort Worth, Texas and BOK FINANCIAL PRIVATE WEALTH, INC. located in Fort Worth, Texas.
Erin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Erin has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erin Melissa Finley | Erin Finley Lee | Erin Melissa Finley Lee | Erin Melissa 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.
1) Name: Medford Minerals LP Location: private residential address Fort Worth, TX Investment related (y/n): n Start date: Position held: 7% owner Nature of outside business: mineral rights Hrs/mo: .5 Hrs/mo during securities trading: 0 Brief description of duties: compile financial information for tax reasons 2) Name: Colonial Country Club Location: 3735 Country Club Cir., Fort Worth, TX 76109 Investment related (y/n): N Start date: May 2025 Position held: Board of Governors member Nature of outside business: social club Hrs/mo: 10 Hrs/mo during securities trading: 0 Brief description of duties: provide strategic direction for operations of club 3)Name: Colonial Women's Golf Assoc Location: 3735 Country Club Cir, Fort Worth, TX 76109 Investment related (y/n): N Start date: May 2025 Position held: Secretary Nature of outside business: social organization to promote women's golf at Colonial Country Club Hrs/mo: Hrs/mo during securities trading: Brief description of duties: 4) Name: Cook Children's Health Foundation Planned Giving Advisory Council Location: 801 7th Ave, Fort Worth, TX 76104 Investment related (y/n): n Start date: June 2025 Position held: Council member Nature of outside business: charitable foundation associated with a local children's hospital Hrs/mo: 0 Hrs/mo during securities trading: 0 Brief description of duties: resource for their donor pool
CRS (Client Relationship Summary) - RIA
Click below to view Erin Melissa Finley Lee's 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®
NoneExperience
Current
May 7, 2025 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 777 Main St. Ste. 3500, Fort Worth, TX 76102RIA
BD
CRD#: 17530
Fort Worth, TX
Current
October 3, 2025 - Present
BOK FINANCIAL PRIVATE WEALTH, INC.
Office #1: 777 Main St. Ste 1525, Fort Worth, TX 76102RIA
CRD#: 106733
Fort Worth, TX
Current
May 29, 2025 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 777 Main St. Ste. 3500, Fort Worth, TX 76102RIA
BD
CRD#: 17530
Fort Worth, TX
Past
June 9, 2017 - August 20, 2018
FROST INVESTMENT SERVICES
RIA
CRD#: 286129
FORT WORTH, TX
Past
May 3, 2014 - August 20, 2018
FROST BROKERAGE SERVICES, INC.
BD
CRD#: 17465
SAN ANTONIO, TX
Past
April 3, 2003 - September 5, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
HOUSTON, TX
Past
November 2, 2000 - October 24, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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".
BF
BOK FINANCIAL PRIVATE WEALTH, INC.
BOK FINANCIAL PRIVATE WEALTH, INC. | THE MILESTONE GROUP, INC. | MILESTONE WEALTH MANAGEMENT | MILESTONE INVESTMENT MANAGEMENT AND RESEARCH | MILESTONE GROUP INC | MILESTONE CAPITAL PARTNERS | MILESTONE CAPITAL MANAGEMENT | MILESTONE ASSET MANAGEMENT | COBIZ WEALTH
CRD#: 106733 / SEC#: 801-51401
RIA
Registered Investment Advisory firm - (3/6/1996 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.RR
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
RR
Florida(10/2/2025)
IAR
Texas(5/7/2025)
RR
Texas(5/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/29/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BOK FINANCIAL PRIVATE WEALTH, INC.
BOK FINANCIAL PRIVATE WEALTH, INC. | THE MILESTONE GROUP, INC. | MILESTONE WEALTH MANAGEMENT | MILESTONE INVESTMENT MANAGEMENT AND RESEARCH | MILESTONE GROUP INC | MILESTONE CAPITAL PARTNERS | MILESTONE CAPITAL MANAGEMENT | MILESTONE ASSET MANAGEMENT | COBIZ WEALTH
CRD#: 106733 / SEC#: 801-51401
RIA
Registered Investment Advisory firm - (3/6/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1600 Broadway 4th Floor, Denver, CO 80202
Mailing Address
Phone number
(303) 539-0100
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,179 |
| AUM (Assets Under Management) | $ 3,185,223,176 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/18/2024 | ||
| 08/25/2023 | ||
| 09/26/2022 |
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.
