John D. Lee

VANTAGE WEALTH MANAGEMENT

SAN MATEO, CA 94402

Some features on this profile are disabled

CRD#: 5204771

Professional summary

John D Lee, CFP® is a registered financial advisor currently at VANTAGE WEALTH MANAGEMENT, LLC located in San Mateo, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. John has worked at 3 firms and has passed the Series 66, SIE 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.

1. 02/06/2015 - JOHN D. LEE CFP (R)/ NON-VARIABLE INSURANCE TRAILS ONLY/ 0%/ SAN MATEO, CA 2. 03/12/2025- JOHN D. LEE , THE SCHULTZ CELEBRITY GOLF CLASSIC, BOARD MEMBER, NON INVESTMENT RELATED, PO BOX 1945 WINDSOR CA 95492, ANNUAL FUNDRAISING GOLF TOURNAMENT FOR SONOMA COUNTY CHILDREN'S CHARITIES, BOARD MEETINGS, HELP WITH FUNDRAISING, ACTIVITIES; START DATE: 2024-12-04; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 2; HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 2; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 0; WEBSITE ADDRESS FOR THE ORGANIZATION: HTTPS://THESCHULZ.ORG/;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John D 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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 9, 2015 - Present

VANTAGE WEALTH MANAGEMENT, LLC

Office #1: 66 Bovet Road Ste. 310, San Mateo, CA 94402

RIA

CRD#: 152374

SAN MATEO, CA

Past

February 6, 2015 - April 21, 2020

LPL FINANCIAL LLC

CRD#: 6413

SAN MATEO, CA

Past

October 12, 2006 - February 9, 2015

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

SAN MATEO, CA

Past

September 7, 2006 - February 9, 2015

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN MATEO, 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".

VANTAGE WEALTH MANAGEMENT, LLC

CRD#: 152374 / SEC#: 801-70921

RIA

Registered Investment Advisory firm - (1/4/2010 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

California
(2/9/2015)

IAR

Louisiana
(3/13/2015)

IAR

Washington
(11/4/2015)

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: 9/27/2006

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: 9/6/2006

General Securities Representative Examination

Current Firm

VANTAGE WEALTH MANAGEMENT, LLC

CRD#: 152374 / SEC#: 801-70921

RIA

Registered Investment Advisory firm - (1/4/2010 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

66 Bovet Road Ste. 310, San Mateo, CA 94402

Mailing Address

Phone number

(650) 638-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VANTAGE WEALTH MANAGEMENT INVESTMENT ADVISORY SERVICES (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,751
AUM (Assets Under Management)	$ 897,418,075

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John D. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

VANTAGE WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

VANTAGE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2006

Current Firm

VANTAGE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANTAGE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors