Alan E. Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Ernest Lee was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2011. Alan had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2015 - February 11, 2016
POLARIS WEALTH ADVISORY GROUP
March 13, 2013 - February 2, 2015
J.P. MORGAN SECURITIES LLC
March 13, 2013 - February 2, 2015
J.P. MORGAN SECURITIES LLC
April 10, 2012 - April 2, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 10, 2012 - April 2, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 25, 2011 - April 9, 2012
VOYA FINANCIAL ADVISORS, INC.
March 21, 2011 - April 9, 2012
VOYA FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
POLARIS WEALTH ADVISORY GROUP
CRD#: 158718 / SEC#: 801-72654
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,317 |
| AUM (Assets Under Management) | $ 1,508,968,850 |
Red Flags
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