K Patrick Lee

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Contact Information

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Disclosures on record.

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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Years of Experience

15 years registered in the securities industry

Current & Past Employments

Current

SYNDICATED CAPITAL, INC.Current·CRD# 29037

RIA

BD

135 S State College Blvd. Suite 200, Brea, CA 92822

March 9, 2012 - Present

SYNDICATED CAPITAL, INC.Current·CRD# 29037

RIA

BD

135 S State College Blvd. Suite 200, Brea, CA 92822

July 11, 2011 - Present

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Current Firm

SC

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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).

Contact Information

Main Address

135 S State College Blvd. Suite 200, Brea, CA 92821

Mailing Address

P. O. Box 274, Brea, CA 92822

Phone Number

(310) 751-7098

Established

California since 02/24/1986

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

# of Employees

12

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART II (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
SC ADD HOLDINGS, LLC	OWNER	—
BAINES AND MCADAMS LIVING TRUST	OWNER	—
BAINES, HEATHER UNA	TRUSTEE OF BAINES & MCADAMS LIVING TRUST	2173889
LEE, FAITH	PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC	2715226
THORNTON, STEVEN LEE	FINANCIAL AND OPERATIONS PRINCIPAL	4496384

Regulatory Assets Under Management

Total Number of Accounts

465

AUM (Assets Under Management)

$141,993,039

Disclosures

Regulatory Event

4

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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".

SC

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

IAR

California
(3/9/2012)

RR

California
(3/13/2012)

RR

Delaware
(6/4/2018)

RR

Hawaii
(9/11/2014)

RR

New Jersey
(5/10/2012)

RR

New York
(7/28/2020)

RR

Oregon
(6/8/2018)

RR

Pennsylvania
(11/12/2024)

RR

South Dakota
(2/28/2012)

RR

Tennessee
(6/19/2012)

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.