K Patrick Lee
Professional Summary
K Patrick Lee, who also goes by Kai Patrick Lee, is a registered financial advisor currently at SYNDICATED CAPITAL, INC. located in Brea, California. K is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. K has worked at 1 firm and has passed the Series 66, Series 57TO, Series 99TO, SIE, Series 87, Series 86, Series 55, Series 79, Series 7, Series 4 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kai Patrick Lee
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
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Current Firm
SYNDICATED CAPITAL, INC.
Contact Information
Main Address
135 S State College Blvd. Suite 200, Brea, CA 92821Mailing Address
P. O. Box 274, Brea, CA 92822Phone Number
(310) 751-7098Established
California since 02/24/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
12FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
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
465AUM (Assets Under Management)
$141,993,039Disclosures
Regulatory Event
4Arbitration
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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
SYNDICATED CAPITAL, INC.
State Registrations and Notice Filings
(3/9/2012)
(3/13/2012)
(6/4/2018)
(9/11/2014)
(5/10/2012)
(7/28/2020)
(6/8/2018)
(11/12/2024)
(2/28/2012)
(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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed May 2015About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2012Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view K Patrick Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view K Patrick Lee's CRS (Customer Relationship Summary).
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