Alex Lee

ALLIED PRIVATE WEALTH

BOCA RATON, FL 33487

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CRD#: 5513235

Professional summary

Alex Lee is a registered financial advisor currently at ALLIED PRIVATE WEALTH located in Boca Raton, Florida.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Alex has worked at 4 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex 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®

None

Experience

Current

January 24, 2024 - Present

ALLIED PRIVATE WEALTH

Office #1: 7700 Congress Ave Suite 3208, Boca Raton, FL 33487

RIA

CRD#: 328952

BOCA RATON, FL

Past

August 21, 2018 - February 20, 2024

SKY ALPHA ASSET ADVISORS

RIA

CRD#: 295839

BOCA RATON, FL

Past

November 8, 2017 - August 24, 2018

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BOCA RATON, FL

Past

November 6, 2017 - August 24, 2018

OPPENHEIMER & CO. INC.

CRD#: 249

BOCA RATON, FL

Past

April 8, 2014 - November 6, 2017

MORGAN STANLEY

RIA

CRD#: 149777

BOCA RATON, FL

Past

March 4, 2014 - November 6, 2017

MORGAN STANLEY

CRD#: 149777

BOCA RATON, FL

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".

ALLIED PRIVATE WEALTH

CRD#: 328952 / SEC#: 801-129089

RIA

Registered Investment Advisory firm - (12/7/2023 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
(1/24/2024)

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: 4/7/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2014

General Securities Representative Examination

Current Firm

ALLIED PRIVATE WEALTH

CRD#: 328952 / SEC#: 801-129089

RIA

Registered Investment Advisory firm - (12/7/2023 Approved)

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Contact information

Main Address

7700 Congress Ave Suite 3208, Boca Raton, FL 33487

Mailing Address

Phone number

(954) 576-9192

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLIED PRIVATE WEALTH ADV BROCHURE PART 2A (4/30/2025)

Regulatory assets under management

Total Number of Accounts	431
AUM (Assets Under Management)	$ 186,978,574

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

Alex Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SKY ALPHA ASSET ADVISORS

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

ALLIED PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2014

SIE

Date: 8/24/2018

Series 7

Date: 3/4/2014

Current Firm

ALLIED PRIVATE WEALTH

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIED PRIVATE WEALTH

TRUST BUT VERIFY

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