Tammy N. Lee
ARAX ADVISORY PARTNERS
Tustin, CA
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CRD#: 4984629
Tammy Nguyen LeeARAX ADVISORY PARTNERS
Professional summary
Tammy Nguyen Lee, CFP®, who also goes by Tammy Nguyen Ho, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Tustin, California.
Tammy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Tammy has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Always Fiduciary
Aliases
Tammy Nguyen Ho
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.) Tammy Lee - Investment Related - Insurance - Insurance Agent - Start date 01/26/2016 - 5 hours per month - 0 hours during trading hours - If a client has a need for life insurance as a part of their financial plan, Tammy is licensed to find a policy that is the best fit for them. 2) RIA Strategic Implementation and Execution - Investment Related - 2522 Chambers Road, Tustin, CA - Provides implementation strategies for RIAs - Managing Member and Owner - Start date - 12/7/22 - 140 hours per month - 110 hours during trading hours - Duties include providing clients with operations and strategies implementation and consultation.
CRS (Client Relationship Summary) - RIA
Click below to view Tammy Nguyen 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®
CFP®
Start date: 2013
Experience
Current
July 19, 2026 - Present
ARAX ADVISORY PARTNERS
RIA
CRD#: 133535
Tustin, CA
Past
December 16, 2022 - July 20, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
Tustin, CA
Past
December 26, 2019 - December 22, 2022
ALPHA CUBED INVESTMENTS, LLC
RIA
CRD#: 159347
IRVINE, CA
Past
July 10, 2019 - December 13, 2019
RETIREMENT WELLNESS GROUP
RIA
CRD#: 297255
NEWPORT BEACH, CA
Past
January 30, 2015 - December 13, 2019
BRIDGE ADVISORY LLC
RIA
CRD#: 148282
NEWPORT BEACH, CA
Past
November 21, 2014 - December 31, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
NEWPORT BEACH, CA
Past
February 13, 2008 - November 14, 2014
F500 ADVISORY SERVICES, INC.
RIA
CRD#: 107519
IRVINE, CA
Past
June 19, 2007 - November 14, 2014
FINANCE 500, INC.
BD
CRD#: 12981
IRVINE, CA
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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(7/20/2026)
IAR
Texas(7/19/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
