Eric O. Lee

LIFELONG INVESTMENT MANAGEMENT SERVICES LLC

Wailuku, HI

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CRD#: 4958166

Professional summary

Eric O Lee is a registered financial advisor currently at LIFELONG INVESTMENT MANAGEMENT SERVICES LLC located in Wailuku, Hawaii.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Eric has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 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.

ERIC AND HIS WIFE ARE LANDLORDS AND RECIEVE RENTAL INCOME FROM THEIR PROPERTY IN MAUI, HAWAII. THE BUSINESS IN NOT INVESTMENT RELATED. ERIC'S WIFE, GENEVIEVE LEE, RUNS THIS BUSINESS. ERIC SPENDS LESS THAN AN HOUR PER MONTH ON THIS BUSINESS. ZERO HOURS PER MONTH ARE DEVOTED TO THIS BUSINESS DURING TRADING HOURS. LICENSED AS AN INDIVIDUAL INSURANCE AGENT, HOME ADDRESS IS MY BUSINESS ADDRESS, SELL LIFE INSURANCE, LONG TERM CARE, AND ANNUITIES, INSURANCE AGENT, INDEPENDENT AGENTS ARE ALLOWED TO SELL INSURANCE PRODUCTS FROM MANY DIFFERENT INSURANCE COMPANIES, MAY 2009 WAS THE START OF BUSINESS RELATIONSHIPS, 1 HOURS PER MONTH, NO OTHER BUSINESS DURING TRADING HOURS, SELL LIFE INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric O 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

November 21, 2011 - Present

LIFELONG INVESTMENT MANAGEMENT SERVICES LLC

RIA

CRD#: 158324

Wailuku, HI

Past

May 20, 2009 - November 18, 2011

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

ANCHORAGE, AK

Past

May 8, 2009 - November 18, 2011

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

ANCHORAGE, AK

Past

May 7, 2009 - May 12, 2009

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

ANCHORAGE, AK

Past

March 24, 2009 - April 8, 2009

FOUNDATIONS ASSET MANAGEMENT, LLC

RIA

CRD#: 145900

ANCHORAGE, AK

Past

March 16, 2009 - April 29, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ANCHORAGE, AK

Past

January 18, 2007 - March 18, 2009

EDWARD JONES

RIA

CRD#: 250

ANCHORAGE, AK

Past

November 23, 2005 - March 18, 2009

EDWARD JONES

CRD#: 250

ANCHORAGE, AK

Past

July 29, 2005 - October 3, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Alaska
(11/21/2011)

IAR

Hawaii
(4/5/2019)

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 66

Date: 12/21/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/16/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/2005

General Securities Representative Examination

Current Firm

LIFELONG INVESTMENT MANAGEMENT SERVICES LLC

LIFELONG INVESTMENT ADVISORS, LLC | LIFELONG INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 158324 / SEC#:

Alaska

Registered Investment Advisory firm - (11/8/2011 Approved)

Hawaii

Registered Investment Advisory firm - (3/19/2019 Approved)

Idaho

Registered Investment Advisory firm - (12/26/2018 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).

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Contact information

Main Address

Wailuku, HI

Mailing Address

Phone number

(907) 258-2888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 3,621,993

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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Eric O. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

FOUNDATIONS ASSET MANAGEMENT, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2006

Series 63

Date: 12/16/2005

Series 7

Date: 7/28/2005

Current Firm

LIFELONG INVESTMENT MANAGEMENT SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIFELONG INVESTMENT MANAGEMENT SERVICES LLC

TRUST BUT VERIFY

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