Lee W. Northern

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CRD#: 5029425

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lee W Northern, CFP®, ChFC®, who also goes by Lee Walter Northern, was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 2006. Lee had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Lee W. Northern has a financial industry affiliated business as an insurance agent. Not more than 30% of his time is spent on this activity. From time to time, he offers clients advice or products from this activity. He may receive separate yet typical compensation in the form of commissions for the sale of insurance products (i.e. annuities) with commission and/or revenue sharing arrangements typically ranging from 3% to 7%. These practices represent conflicts of interest because it gives Mr. Northern an incentive to recommend products based on the commission amount received. This conflict is mitigated by the fact that Mr. Northern has a fiduciary responsibility to place the best interest of the client first and clients are not required to purchase any insurance products. Clients have the option to purchase these products through another insurance agent of their choosing.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

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

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

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.

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.

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

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

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.

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".

TRAJAN WEALTH, L.L.C.

TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.

CRD#: 158847 / SEC#: 801-100392

RIA

Registered Investment Advisory firm - (6/29/2015 Approved)

California

Registered Investment Advisory firm - (5/25/2016 Terminated)

Colorado

Registered Investment Advisory firm - (4/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2012 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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/6/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2006

General Securities Representative Examination

Current Firm

TRAJAN WEALTH, L.L.C.

TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.

CRD#: 158847 / SEC#: 801-100392

RIA

Registered Investment Advisory firm - (6/29/2015 Approved)

California

Registered Investment Advisory firm - (5/25/2016 Terminated)

Colorado

Registered Investment Advisory firm - (4/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2012 Terminated)

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Contact information

Main Address

18700 North Hayden Road Suite 470, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 990-3300

Established

Firm type

Fiscal year end

# of Employees

125

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A (8/21/2025)

Regulatory assets under management

Total Number of Accounts	15,595
AUM (Assets Under Management)	$ 1,969,683,196

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

Lee W. Northern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

TRAJAN WEALTH, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2005

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2006

Current Firm

TRAJAN WEALTH, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAJAN WEALTH, L.L.C.

TRUST BUT VERIFY

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