Charles Lee

BANKERS LIFE ADVISORY SERVICES

Farmington, CT 06032

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CRD#: 4686159

Professional summary

Charles Lee, who also goes by Charles David Lee, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Farmington, Connecticut and BANKERS LIFE SECURITIES, INC. located in Farmington, Connecticut.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Charles has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles David 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.

BANKERS LIFE & CASUALTY POSITION: Agent NATURE: Help clients with Medicare, life and Long-Term care insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 07/29/2009 ADDRESS: 195 Scott Swamp Rd., Farmington CT 06032, United States DESCRIPTION: I am a 1099 agent for Bankers Life and Casualty Company (BLC). As a BLC agent, I am also appointed with KFA through BLC which allows agents to write business for Medicare Supplement, Annuity and Equity Indexed annuity insurance products, life insurance, health and LTC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles 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

November 21, 2016 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

Office #1: 195 Scott Swamp Road 2nd Fl, Farmington, CT 06032

RIA

CRD#: 281285

Farmington, CT

Current

May 26, 2016 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 195 Scott Swamp Rd 2nd Floor, Farmington, CT, 06032

CRD#: 173962

Farmington, CT

Past

July 12, 2010 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

FARMINGTON, CT

Past

June 30, 2010 - May 27, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

FARMINGTON, CT

Past

July 25, 2005 - July 2, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

WEST HARTFORD, CT

Past

July 25, 2005 - July 2, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WEST HARTFORD, CT

Past

October 9, 2003 - June 20, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HARTFORD, CT

Past

September 9, 2003 - June 20, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/23/2024)

Connecticut
(5/26/2016)

IAR

Connecticut
(11/21/2016)

Florida
(5/27/2016)

Georgia
(5/26/2016)

New York
(4/4/2024)

Ohio
(5/26/2016)

South Carolina
(3/13/2024)

Vermont
(4/4/2024)

Virginia
(9/13/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/12/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/8/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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

Charles Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2003

SIE

Date: 10/1/2018

Series 31

Date: 12/12/2003

Series 7

Date: 9/8/2003

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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