SO
Shirley A. Ogden
LEE FINANCIAL COMPANY
Dallas, TX 75206
Some features on this profile are disabled
CRD#: 4531412
SO
Professional summary
Shirley Ann Ogden is a registered financial advisor currently at LEE FINANCIAL COMPANY, LLC located in Dallas, Texas.
Shirley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Shirley has worked at 1 firm .
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.
Shirley Ogden is employed on a part-time basis at a CPA firm, Timothy Carmody CPA. The business is not investment-related, the nature of the business is a CPA firm with a focus on income tax preparation, advice, and consulting. Shirley's position is to prepare and review returns, research tax matters, prepare research reports on tax matters, and consult with clients as needed. The position started in January, 2019 and involves 15-20 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view Shirley Ann Ogden'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 3, 2000 - Present
LEE FINANCIAL COMPANY, LLC
Office #1: 8350 N Central Expressway Suite 1800, Dallas, TX 75206RIA
CRD#: 105910
Dallas, TX
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".
LF
LEE FINANCIAL COMPANY, LLC
LEE FINANCIAL COMPANY | LEE FINANCIAL CORPORATION | LEE FINANCIAL CORP | LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
RIA
Registered Investment Advisory firm - (4/26/1975 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.Highlighted states indicate IAR registrations
IAR
Texas(5/3/2000)
Exams
Current Firm
LF
LEE FINANCIAL COMPANY, LLC
LEE FINANCIAL COMPANY | LEE FINANCIAL CORPORATION | LEE FINANCIAL CORP | LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
RIA
Registered Investment Advisory firm - (4/26/1975 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8350 N. Central Expressway Suite 1800, Dallas, TX 75206
Mailing Address
Phone number
(972) 960-1001
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,677 |
| AUM (Assets Under Management) | $ 1,496,621,112 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/23/2023 | ||
| 01/23/2023 |
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.
Company Information
LEE FINANCIAL COMPANY, LLC
CRD#: 105910Dallas, TX 75206TRUST BUT VERIFY
Monitor Shirley Ogden
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
