Austin C. Lee

LEE FINANCIAL GROUP

Ladera Ranch, CA

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CRD#: 5415765

Professional summary

Austin Christopher Lee, CFP® is a registered financial advisor currently at LEE FINANCIAL GROUP located in Ladera Ranch, California.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Austin has worked at 4 firms and has passed the Series 66, Series 7TO, 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.

EDWARDS LIFESCIENCES, Non-Investment Related, Irvine, CA 92614, Sale of Heart Value replacement/repair products, Senior Finance Manager, Start date 04/2020, 75% of time during trading hours, Review and analyze the financial condition of the business unit within the company through forecast, month-end close review and budget goals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Christopher 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^®

Certified Financial Planner

Experience

Current

May 13, 2022 - Present

LEE FINANCIAL GROUP

RIA

CRD#: 319537

Ladera Ranch, CA

Past

July 30, 2020 - May 11, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

Irvine, CA

Past

July 30, 2020 - May 11, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Irvine, CA

Past

July 7, 2008 - September 27, 2011

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

IRVINE, CA

Past

December 4, 2007 - September 27, 2011

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

IRVINE, CA

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
(5/13/2022)

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: 5/25/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/29/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/23/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2007

General Securities Representative Examination

Current Firm

LEE FINANCIAL GROUP

LEE FINANCIAL GROUP | LEE FINANCIAL GROUP LLC

CRD#: 319537 / SEC#:

California

Registered Investment Advisory firm - (5/13/2022 Approved)

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Contact information

Main Address

Ladera Ranch, CA

Mailing Address

Phone number

(949) 214-4873

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 780,482

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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Austin C. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Christopher Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEE FINANCIAL GROUP

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2020

Series 7TO

Date: 7/29/2020

SIE

Date: 9/23/2019

Series 7

Date: 12/3/2007

Current Firm

LEE FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEE FINANCIAL GROUP

TRUST BUT VERIFY

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