Lee S. Putz

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CRD#: 4415931

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.

Lee S Putz was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 2001. Lee had worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

September 18, 2019 - January 14, 2021

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

LOVELAND, OH

Past

March 19, 2014 - April 18, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CINCINNATI, OH

Past

May 10, 2013 - March 13, 2014

ONEAMERICA SECURITIES, INC.

CRD#: 4173

CINCINNATI, OH

Past

September 7, 2011 - March 14, 2013

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

COLUMBUS, OH

Past

June 30, 2010 - April 19, 2011

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

CINCINNATI, OH

Past

January 1, 2010 - April 19, 2011

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

CINCINNATI, OH

Past

July 17, 2001 - May 20, 2009

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

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".

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 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.

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 65

Date: 6/14/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/16/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/12/2011

Investment Company Products/Variable Contracts Principal Examination

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 Terminated)

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Contact information

Main Address

6 Cadillac Dr. Suite 310, Brentwood, TN 37027

Mailing Address

Phone number

(615) 340-0801

Established

Firm type

Fiscal year end

# of Employees

110

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VCM ADV PART 2A (3/28/2024)

Regulatory assets under management

Total Number of Accounts	6,111
AUM (Assets Under Management)	$ 787,466,707

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

Lee S. Putz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

ONEAMERICA SECURITIES, INC.

FARMERS FINANCIAL SOLUTIONS, LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

THE O.N. EQUITY SALES COMPANY

Primary Firm SEC Registration

VIRTUE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/14/2010

Series 63

Date: 8/20/2001

Series 6

Date: 7/16/2001

Series 26

Date: 12/12/2011

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIRTUE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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