AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LN

Lee W. Northern

ALPHASTAR CAPITAL MANAGEMENT
Sarasota, FL 34236-5999
Some features on this profile are disabled
CRD#: 5029425
LN

Professional summary

Lee W Northern, CFP®, ChFC®, who also goes by Lee Walter Northern, is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Sarasota, Florida.

Lee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Lee has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lee Walter Northern

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee W Northern'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®
CFP®

Certified Financial Planner

ChFC®

Chartered Financial Consultant

Experience

Current

December 15, 2025 - Present

ALPHASTAR CAPITAL MANAGEMENT

Office #1: 1819 Main Street Suite 1100, Sarasota, FL 34236-5999
RIA
CRD#: 157423
Sarasota, FL
Past

December 3, 2024 - October 28, 2025

TRAJAN WEALTH, L.L.C.

RIA
CRD#: 158847
Lakewood Ranch, FL
Past

April 10, 2024 - December 2, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BRADENTON, FL
Past

April 9, 2024 - December 2, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BRADENTON, FL
Past

August 29, 2023 - October 25, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Holmes Beach, FL
Past

August 28, 2023 - October 25, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NEW YORK, NY
Past

May 28, 2020 - March 14, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Temple Terrace, FL
Past

May 23, 2020 - March 14, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Temple Terrace, FL
Past

January 8, 2018 - May 24, 2020

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

August 25, 2015 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
TAMPA, FL
Past

August 20, 2015 - May 23, 2020

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
Tampa, FL
Past

December 2, 2014 - August 12, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAINT PETERSBURG, FL
Past

November 25, 2014 - August 12, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAINT PETERSBURG, FL
Past

December 11, 2008 - August 5, 2013

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
SAN DIEGO, CA
Past

September 19, 2007 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
PHOENIX, AZ
Past

September 13, 2007 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
PHOENIX, AZ
Past

March 20, 2006 - September 13, 2007

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

March 7, 2006 - March 14, 2006

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

March 7, 2006 - August 5, 2013

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN DIEGO, 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".
AC
ALPHASTAR CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA
Registered Investment Advisory firm - (5/18/2011 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
Florida
(12/15/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/6/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2006
General Securities Representative Examination

Current Firm

AC
ALPHASTAR CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA
Registered Investment Advisory firm - (5/18/2011 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
19600 West Catawba Avenue Suite B200, Cornelius, NC 28031
Mailing Address
Phone number
(855) 340-2514
Established
Firm type
Fiscal year end
# of Employees
124

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts11,592
AUM (Assets Under Management)$ 1,841,154,148

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/12/2023
Cover Page
Report
06/27/2023
Cover Page
Report

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

ALPHASTAR CAPITAL MANAGEMENT

CRD#: 157423Sarasota, FL 34236-5999

TRUST BUT VERIFY

Monitor Lee Northern

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Lea Smith Johnson
Lea Smith JohnsonAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Bradenton, FL
John Edward Darby
John DarbyAdvisorCheck Check Mark
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
IAR
SARASOTA, FL
Adam J Ausloos
Adam AusloosAdvisorCheck Check Mark
ADVICEWORKS WEALTH ADVISORS
IAR
SARASOTA, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.