RL
Raymond W. Lee
TRANSAMERICA FINANCIAL ADVISORS
Rancho Cucamonga, CA 91730
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CRD#: 5782628
RL
Professional summary
Raymond Wai Lee is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Rancho Cucamonga, California.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Raymond has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. World System Builders (WSB) | WFGIA Co-Brand Company | marketing | yes investment related | 8250 White Oak Ave, STE 103A, Rancho Cucamonga, CA 91730 | 05/2009 HIFE COLLEGE PLANNING, 2851 SOUTH PARKER RD STE 1100 AURORA CO 80014, START DATE 09-2012, NOT INVESTMENT RELATED, COLLEGE CONSULTANT, MY DUTIES WOULD BE TO INTRODUCE AND CONDUCT EROLLMET OF FAMILIES WITH COLLEGE-BOUND CHILDREN TO THE HIFE COLLEGE PLANNING PROGRAM. EACH FAMILY WOULD BE PROVIDED COLLEGE FUNDIG RESEARCH AND COACHING SERVICES, I WOULD RECEIVE $200 FOR EACH FAMILY THAT WAS ACCEPTED FOR ENROLLMENT INTO THE PROGRAM, 10 HRS/WEEK HEARTLAND INSTITUTE OF FINANCIAL EDUCATION,2851 S. PARKER RD. SUITE 1100, AURORA, CO 80014, NON-INVESTMENT RELATED, INSTRUCTOR, START DATE 07/17/2012,80HRS PER MONTH COVERED CA; NOT INVESTMENT RELATED; 6050 SANTO RD, SAN DIEGO CA 92124; PROVIDE HEALTH INSURANCE PLANS TO INDIVIDUALS, FAMILIES, AND BUSINESSES, UNDER COVEREDCA; HEALTH INSURANCE AGENT; 20-40 HRS/MONTH; PROVIDE ASSISTANCE TO CONSUMERS IN REGARD TO PROPER ENROLLMENT TO COVEREDCA HEALTH INSURANCE PLANS, UNDER THE NEW PAPACA LAW Net Law Group Inc. / 0420-Present /Investment Related: No/ 12910 Shelbyville Rd. Louisville, KY 40243/Independent Contractor/ Estate Plan, Willis, Trust / Hrs Work: 5 Sec trading Hrs: 5 / I provide referral of potential clients to the self-preparation of estate planning documents COPELAND AND JAR POSITION: Independent Agent NATURE: Medicare Plan and Prescription Drug Plans INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 10/17/2022 ADDRESS: 1180 Walnut Grove Ave, Apt A, Rosemead CA 91770, United States DESCRIPTION: To consult with seniors and those that qualify for Medicare program and help them to choose the appropriate Medicare Advantage insurance health plans and prescription drug plans. RAYMOND LEE - HEALTH INSURANCE SERVICES POSITION: Independent Agent NATURE: Medicare Plan and Prescription Drug Plans INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2023 ADDRESS: 1180 Walnut Grove Ave, Apt A, Rosemead CA 91770, United States DESCRIPTION: To consult with seniorsand those that qualify for Medicare program and help them to choose the appropriate Medicare Advantage insurance health plans and prescription drug plans. Provide Health related insurance solutions to individuals, families, and businesses. Includes offerings under CCIS - Medicare Advantage.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Wai Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Wai 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
September 15, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 8250 White Oak Ave. Suite 103, Rancho Cucamonga, CA 91730RIA
BD
CRD#: 16164
Rancho Cucamonga, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 8250 White Oak Ave. Suite 103, Rancho Cucamonga, CA 91730RIA
BD
CRD#: 16164
Rancho Cucamonga, CA
Past
May 13, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
RANCHO CUCAMONGA, 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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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(1/6/2012)
IAR
California(9/15/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
