ML
Michael T. Lee
COMPASS FINANCIAL MANAGEMENT LLC
New York, NY
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CRD#: 4502893
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Professional summary
Michael Thomas Lee, who also goes by Michael T Lee, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 11 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael T 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.
Michael Lee Investments LLC Owner 2020 Both trading and non trading 10 hrs/mo Media Commentator & Speaker on Economics, Markets, and Politics, for Fox Business, RFD-TV, CMG Media and others CFO for Audiebant US, 1343 Main Street Sarasota, FL 34236. Business is a technology reseller/distributor in the US for Audiebant UK, https://audiebant.co.uk/ a mass communications provider. Duties to include bill pay, accounting, and finance for company. Not investment related, Part time, for compensation. Will require 15-20 hours a month during business hours. Start date 6/9/2025
CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas 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
August 6, 2021 - Present
COMPASS FINANCIAL MANAGEMENT LLC
RIA
CRD#: 156345
New York, NY
Past
October 5, 2018 - November 18, 2019
ALTIUM WEALTH MANAGEMENT LLC
RIA
CRD#: 154719
PURCHASE, NY
Past
February 3, 2017 - September 24, 2018
INVESTMARK ADVISORY GROUP LLC
RIA
CRD#: 121060
Stanford, CT
Past
February 1, 2017 - October 1, 2018
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Stamford, CT
Past
February 1, 2017 - October 1, 2018
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Stamford, CT
Past
July 2, 2014 - August 23, 2017
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
WESTPORT, CT
Past
July 2, 2014 - February 1, 2017
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Darien, CT
Past
June 1, 2009 - July 9, 2014
MORGAN STANLEY
RIA
CRD#: 149777
PURCHASE, NY
Past
June 1, 2009 - July 9, 2014
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
June 28, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PURCHASE, NY
Past
June 28, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
May 26, 2005 - May 18, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
STAMFORD, CT
Past
May 26, 2005 - May 18, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
STAMFORD, CT
Past
July 17, 2003 - June 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MOUNT KISCO , NY
Past
July 17, 2003 - June 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 8, 2002 - July 8, 2003
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
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".
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
CRD#: 156345 / SEC#: 801-118185
RIA
Registered Investment Advisory firm - (3/6/2020 Approved)Florida
Registered Investment Advisory firm - (3/11/2020 Terminated)New Jersey
Registered Investment Advisory firm - (3/19/2020 Terminated)New York
Registered Investment Advisory firm - (3/11/2020 Terminated)South Carolina
Registered Investment Advisory firm - (3/11/2020 Terminated)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
Florida(1/15/2023)
IAR
New York(8/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
CRD#: 156345 / SEC#: 801-118185
RIA
Registered Investment Advisory firm - (3/6/2020 Approved)Florida
Registered Investment Advisory firm - (3/11/2020 Terminated)New Jersey
Registered Investment Advisory firm - (3/19/2020 Terminated)New York
Registered Investment Advisory firm - (3/11/2020 Terminated)South Carolina
Registered Investment Advisory firm - (3/11/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2422 W. Sunset Drive, Tampa, FL 33629
Mailing Address
Phone number
(813) 831-5168
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,350 |
| AUM (Assets Under Management) | $ 518,984,611 |
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.
