Paul Sangyop Lee | Financial Professional | Fullerton, California | KINGSWOOD WEALTH ADVISORS, LLC

Professional summary

Paul Sangyop Lee, who also goes by Paul S Lee, Paul Sangyop, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Fullerton, California and KINGSWOOD CAPITAL PARTNERS, LLC located in Fullerton, California.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Paul has worked at 12 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul S Lee | Paul Sangyop

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) Vital Wealth Partners, LLC - no - 2 Foxcrest, Irvine Ca 92620 - insurance and fixed indexed annuities - managing director - 01/2020 - 20 hours - 15 hours Sales of insurance products 2) USC - Asian Pacific American Alumni Association - Board Member - no - 2607 Trousdale Pkwy, TCC 322 Los Angeles Ca 90089 - College alumni association - Alumni Board Member - 2016 - 4 hours - 0 hours I participate in Asian pacific American alumni events for USC. 3. Trinidad Coffee Company -not investment related -9828 firestone blvd. Downey, CA 90241 -Coffee roaster and distributor -Managing Director -3/20/2024 -10-20 hours per month -0 hours per month -Assist business by consulting for operational and marketing strategies to maximize growth and manage expenses

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Sangyop 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

October 22, 2021 - Present

KINGSWOOD WEALTH ADVISORS, LLC

Office #1: 110 E Wilshire Ave Ste 301, Fullerton, CA 92832

RIA

CRD#: 288792

Fullerton, CA

Current

October 22, 2021 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 110 E Wilshire Ave Ste 301, Fullerton, CA 92832

BD

CRD#: 8209

IRVINE, CA

Past

August 26, 2008 - September 2, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

IRVINE, 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".

KW

KINGSWOOD WEALTH ADVISORS, LLC

CRD#: 288792 / SEC#: 801-110755

RIA

Registered Investment Advisory firm - (7/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (1/31/2018 Terminated)

District of Columbia

Registered Investment Advisory firm - (1/31/2018 Terminated)

Maryland

Registered Investment Advisory firm - (3/2/2018 Terminated)

Michigan

Registered Investment Advisory firm - (1/26/2018 Terminated)

West Virginia

Registered Investment Advisory firm - (1/31/2018 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.

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

California
(10/22/2021)

IAR

California
(10/22/2021)

RR

Colorado
(10/22/2021)

IAR

Colorado
(10/22/2021)

RR

Florida
(2/10/2025)

RR

Hawaii
(10/22/2021)

RR

Illinois
(11/9/2021)

IAR

Illinois
(11/9/2021)

RR

Kansas
(7/28/2025)

IAR

Kansas
(7/28/2025)

RR

Nebraska
(8/4/2025)

IAR

Nebraska
(8/4/2025)

RR

Nevada
(10/22/2021)

IAR

Nevada
(11/2/2021)

RR

New Jersey
(5/28/2025)

IAR

New Jersey
(5/28/2025)

RR

New York
(10/22/2021)

IAR

New York
(10/22/2021)

RR

North Carolina
(2/14/2025)

IAR

North Carolina
(2/14/2025)

RR

Ohio
(6/3/2025)

IAR

Ohio
(6/3/2025)

RR

Oregon
(10/15/2025)

IAR

South Carolina
(11/15/2023)

RR

South Carolina
(11/17/2023)

RR

Tennessee
(10/22/2021)

IAR

Texas
(10/22/2021)

RR

Texas
(11/7/2024)

RR

Virginia
(1/6/2025)

IAR

Virginia
(2/13/2025)

RR

Washington
(11/14/2023)

IAR

Washington
(1/2/2024)

RR

West Virginia
(6/25/2025)

IAR

West Virginia
(6/27/2025)

RR

Wisconsin
(10/7/2025)

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. Note: This rule does not apply to broker-dealer activity.

Current Firm

KW

KINGSWOOD WEALTH ADVISORS, LLC

CRD#: 288792 / SEC#: 801-110755

RIA

Registered Investment Advisory firm - (7/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (1/31/2018 Terminated)

District of Columbia

Registered Investment Advisory firm - (1/31/2018 Terminated)

Maryland

Registered Investment Advisory firm - (3/2/2018 Terminated)

Michigan

Registered Investment Advisory firm - (1/26/2018 Terminated)

West Virginia

Registered Investment Advisory firm - (1/31/2018 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).

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

11440 W. Bernardo Court Suite 300, San Diego, CA 92127

Mailing Address

126 E 56th Suite 3l, New York, NY 10022

Phone number

(800) 535-6981

Established

Firm type

Fiscal year end

# of Employees

80

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/26/2025)

WRAP FEE PROGRAM BROCHURE - MARCH 28 2024 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,250
AUM (Assets Under Management)	$ 2,470,940,336

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul S. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

GENTER CAPITAL MANAGEMENT

GENTER ADVISORS LLC

PRIVATE ADVISORY

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2008

SIE

Date: 10/1/2018

Series 31

Date: 10/3/2008

Series 7

Date: 8/25/2008

Series 24

Date: 4/18/2016

FINRA

Current Firm

KINGSWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors