Ronald K. Lee

INVISION CAPITAL ADVISOR

SAN FRANCISCO, CA 94108

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CRD#: 4566855

Professional summary

Ronald Kayen Lee, who also goes by Ka Yen Ronald Lee, is a registered financial advisor currently at INVISION CAPITAL ADVISOR, LLC located in San Francisco, California.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Ronald has worked at 3 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ka Yen Ronald 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.

From time to time, Mr. Lee serves as independent business/financial advisor to small/medium businesses and startups. This commitment is less than 40 hours/month and is usually carried out during non securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Kayen 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®

None

Experience

Current

January 4, 2017 - Present

INVISION CAPITAL ADVISOR, LLC

Office #1: 447 Sutter Street Suite 506-1233, San Francisco, CA 94108

RIA

CRD#: 285260

SAN FRANCISCO, CA

Past

July 22, 2004 - December 20, 2006

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

September 19, 2002 - June 22, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

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

California
(1/4/2017)

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

Series 63

Date: 9/27/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 86

Date: 12/14/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/6/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/18/2002

General Securities Representative Examination

Current Firm

INVISION CAPITAL ADVISOR, LLC

INVISION CAPITAL ADVISOR, LLC | LEE, KA YEN RONALD

CRD#: 285260 / SEC#:

California

Registered Investment Advisory firm - (1/1/2017 Approved)

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Contact information

Main Address

447 Sutter Street Suite 506-1233, San Francisco, CA 94108

Mailing Address

Phone number

(650) 918-6638

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 21,719,496

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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Ronald K. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Kayen Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVISION CAPITAL ADVISOR, LLC

UBS SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2002

Series 86

Date: 12/14/2004

Series 87

Date: 12/6/2004

Series 7

Date: 9/18/2002

Current Firm

INVISION CAPITAL ADVISOR, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVISION CAPITAL ADVISOR, LLC

TRUST BUT VERIFY

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