Ben Lee

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CRD#: 5971504

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.

Ben Lee, who also goes by Ben Tiong Leong Lee Mr., was a registered financial professional .

Ben is a previously registered financial professional and started their career in finance in 2011. Ben had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Ben Tiong Leong Lee Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 24, 2011 - June 23, 2017

INNOVATION CAPITAL, LLC

CRD#: 133551

BOCA RATON, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

INNOVATION CAPITAL, LLC

CRD#: 133551 / SEC#: , 8-66734

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2255 Glades Road Suite 324a, Boca Raton, FL 33431

Mailing Address

2255 Glades Road Suite 324a, Boca Raton, FL 33431

Phone number

(561) 725-0702

Established

Louisiana since 02/16/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INNOVATION CAPITAL HOLDING, LLC	SHAREHOLDER
SODL, MATTHEW JOSEPH	PRESIDENT, CCO, AML-CO	2868101
THORNTON, STEVEN LEE	FINOP	4496384
THORNTON, STEVEN LEE	PRINCIPAL	4496384

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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