Sean P. Lee

ELEVATED CAPITAL ADVISORS

Draper, UT 84020

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CRD#: 4529904

Professional summary

Sean Patrick Lee is a registered financial advisor currently at ELEVATED CAPITAL ADVISORS, LLC located in Draper, Utah.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Sean has worked at 7 firms and has passed the Series 65, Series 63, 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.

1-SPL FINANCIAL, INC. 1100 E. 6600 S., SUITE 260, MURRAY, UT 84121. INVESTMENT RELATED. APPROX 40 HRS/WK, 32 HRS/WK DURING TRADING HOURS. START DATE 06/2012. ALSO OFFERS INSURANCE SERVICES THROUGH SPL FINANCIAL, INC. 2. EMERGING ADVISOR, LLC, 1100 E 6600 SOUTH, MURRAY, UT 84121. INVESTMENT RELATED. ADVISOR TRAINING. APPROX 4 HRS/WK. START DATE 09/01/2013. PARTNER WITH COMPANY THAT TRAINS FINANCIAL ADVISORS ON PROPER PLANNING AND PROACTIVE STRUCTURE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick 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

August 31, 2015 - Present

ELEVATED CAPITAL ADVISORS, LLC

Office #1: 11925 South 700 East, Draper, UT 84020

RIA

CRD#: 226721

Draper, UT

Past

August 18, 2010 - August 31, 2015

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

MURRAY, UT

Past

December 8, 2008 - August 13, 2010

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

COTTONWOOD HEIGHTS, UT

Past

February 6, 2008 - November 21, 2008

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

COTTONWOOD HEIGHTS, UT

Past

August 16, 2007 - December 31, 2009

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

COTTONWOOD HEIGHTS, UT

Past

October 26, 2006 - May 29, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

COTTONWOOD HEIGHTS, UT

Past

February 9, 2004 - September 21, 2006

ONEAMERICA SECURITIES, INC.

CRD#: 4173

SALT LAKE CITY, UT

Past

June 3, 2003 - February 2, 2004

FIRST WESTERN ADVISORS

CRD#: 13623

HOLLADAY, UT

Past

May 15, 2003 - June 26, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

ELEVATED CAPITAL ADVISORS, LLC

CRD#: 226721 / SEC#: 801-110864

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Kansas

Registered Investment Advisory firm - (12/9/2019 Terminated)

Missouri

Registered Investment Advisory firm - (12/9/2019 Terminated)

Utah

Registered Investment Advisory firm - (12/9/2019 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

Texas
(4/6/2022)

IAR

Utah
(8/31/2015)

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: 12/6/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/13/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/29/2009

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ELEVATED CAPITAL ADVISORS, LLC

CRD#: 226721 / SEC#: 801-110864

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Kansas

Registered Investment Advisory firm - (12/9/2019 Terminated)

Missouri

Registered Investment Advisory firm - (12/9/2019 Terminated)

Utah

Registered Investment Advisory firm - (12/9/2019 Terminated)

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Contact information

Main Address

11925 South 700 East, Draper, UT 84020

Mailing Address

Phone number

(385) 237-3338

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	2,403
AUM (Assets Under Management)	$ 433,034,784

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

Sean P. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

ONEAMERICA SECURITIES, INC.

FIRST WESTERN ADVISORS

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ELEVATED CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2007

Series 63

Date: 5/22/2003

Series 6

Date: 5/13/2003

Series 26

Date: 9/29/2009

Current Firm

ELEVATED CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELEVATED CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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