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LM

Lee Ann Y. Matsuda

Some features on this profile are disabled
CRD#: 6123265
LM

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.

Lee Ann Yukie Matsuda, who also goes by Lee Ann Nishiguchi, was a registered financial professional .

Lee Ann is a previously registered financial professional and started their career in finance in 2014. Lee Ann had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Ann Nishiguchi

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.
INSURANCE SERVICES ARE OFFERED UNDER LEE FINANCIAL GROUP HAWAII, INC. THE BUSINESS IS NOT INVESTMENT RELATED. LM ENTERPRISES LLC, 95-312 IKALOA PLACE, MILILANI, HI 96789. NON-INVESTMENT RELATED. NATURE OF THE OTHER BUSINESS: BUSINESS CONSULTING, PRODUCT SALES. RELATIONSHIP: SOLE PROPRIETOR/OWNER. START DATE: 04/2012. APPROX. NUMBER OF HOURS/MONTH DEVOTED TO OTHER BUSINESS: 8. NUMBER OF HOURS DEVOTED TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 0. DUTIES: INDEPENDENT CONSULTING TO NON-INVESTMENT COMPANIES; PRODUCT SALES. TRUSTEE OF PERSONAL AND FAMILY RELATED TRUSTS; POWER OF ATTORNEY FOR IMMEDIATE FAMILY MEMBER; INVESTMENT RELATED. OWNER OF REAL ESTATE PROPERTIES WHICH PROVIDES RENTAL INCOME. THE BUSINESS IS NOT INVESTMENT RELATED.

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

March 22, 2014 - January 31, 2024

LEE FINANCIAL SECURITIES, INC.

BD
CRD#: 23134
HONOLULU, HI
Past

February 10, 2014 - May 29, 2024

LEE FINANCIAL GROUP HAWAII, INC.

RIA
CRD#: 104781
HONOLULU, HI

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

State Security Law Exam
RR
Series 63
Date: 3/7/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/10/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/21/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LF
LEE FINANCIAL SECURITIES, INC.
FIRST PACIFIC MUTUAL FUND SERVICES, INC. | LEE FINANCIAL SECURITIES, INC. | FIRST PACIFIC SECURITIES, INC.

CRD#: 23134 / SEC#: , 8-40219

BD
Terminated by SEC on 02/06/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Hawaii since 05/13/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEE FINANCIAL GROUP HAWAII, INC.PARENT CORPORATION
FOLEY, NORA BRIDGETVICE PRESIDENT/CCO/TREASURER/CFO1102287
LEE, TERRENCE KWOCK HINGPRESIDENT AND CEO/DIRECTOR1053119
MEYER, CHARLOTTE AMIKOSECRETARY/VICE PRESIDENT/DIRECTOR1220785

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.

Company Information

LEE FINANCIAL SECURITIES, INC.

CRD#: 23134

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