AL
Alexander Lee
VALMARK ADVISERS
Santa Ana, CA 92705
Some features on this profile are disabled
CRD#: 5363278
AL
Professional summary
Alexander Lee is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Santa Ana, California and VALMARK SECURITIES, INC. located in Santa Ana, California.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Alexander 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander 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®
NoneExperience
Current
June 15, 2017 - Present
VALMARK ADVISERS, INC.
Office #1: 1403 N. Tustin Ave Ste 260, Santa Ana, CA 92705RIA
CRD#: 108050
Santa Ana, CA
Current
July 1, 2010 - Present
VALMARK SECURITIES, INC.
Office #1: 1403 N. Tustin Ave Ste 260, Santa Ana, CA 92705BD
CRD#: 31243
Santa Ana, CA
Past
September 16, 2008 - July 1, 2010
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
LAGUNA HILLS, 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".
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/15/2017)
IAR
Arizona(6/15/2017)
RR
California(6/15/2017)
IAR
California(6/15/2017)
RR
Florida(1/9/2020)
IAR
Florida(8/4/2020)
RR
Idaho(6/24/2020)
IAR
Idaho(11/16/2021)
RR
Illinois(8/26/2022)
IAR
Illinois(8/26/2022)
RR
Massachusetts(6/15/2017)
IAR
Massachusetts(7/7/2017)
IAR
Michigan(12/5/2023)
IAR
Minnesota(1/31/2023)
IAR
Nebraska(10/7/2020)
RR
Nebraska(4/12/2021)
IAR
Nevada(4/7/2021)
IAR
New Hampshire(7/1/2020)
RR
New Mexico(2/25/2019)
IAR
New Mexico(5/20/2025)
IAR
North Carolina(4/5/2021)
RR
North Carolina(4/22/2021)
IAR
Ohio(1/25/2019)
RR
Ohio(8/25/2025)
RR
Oregon(6/15/2017)
IAR
Oregon(4/26/2021)
RR
Pennsylvania(6/15/2017)
IAR
Pennsylvania(6/15/2017)
RR
Tennessee(7/26/2023)
RR
Texas(6/15/2017)
IAR
Texas(8/21/2019)
RR
Utah(4/20/2022)
IAR
Utah(4/21/2022)
RR
Virginia(6/15/2017)
IAR
Virginia(6/15/2017)
RR
Washington(6/15/2017)
IAR
Washington(6/15/2017)
RR
Wisconsin(6/15/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)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
130 Springside Drive Suite 300, Akron, OH 44333
Mailing Address
Phone number
(800) 765-5201
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,881 |
| AUM (Assets Under Management) | $ 10,166,311,019 |
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.
