Romonia B. Lee

ASSET ALLOCATION STRATEGIES

AUGUSTA, GA 30906

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CRD#: 6381198

Professional summary

Romonia Bradford Lee, who also goes by Romonia Lynn Bradford, Romonia Bradford-lowe, Romonia Lynn Young, is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in Augusta, Georgia and GLP INVESTMENT SERVICES, LLC located in Augusta, Georgia.

Romonia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Romonia has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Romonia Lynn Bradford | Romonia Bradford-Lowe | Romonia Lynn Young

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.

(1) VALUTEACHERS,3114 AUGUSTA TECH DRIVE,SUITE 105,AUGUSTA,GA 30906,INVESTMENT RELATED,INSURANCE,ONGOING,12/05/2018,NATIONAL SALES DIRECTOR/AGENT,DURING TRD/HRS,40+ HRS/WK (2) RBL RETIREMENT PLANNING SOLUTIONS,3114 AUGUSSTA TECH DRIVE,SUITE 105,AUGUSTA,GA 30906,INVESTMENT RELATED,ONGOING,AGENT,INSURANCE,DURING TRD/HRS,30%. (3) ASSET ALLOCATION STRATEGIES, LLC; INVESTMENT RELATED; LOCATED AT AUGUSTA, GA, SUPERVISED FROM FARMINGTON, MI; NATURE: INVESTMENT ADVISOR; POSITION: IAR; START DATE: 07/2020; APX 10 HRS/MO., 10 HRS DURING TRADING HOURS; DUTIES: SOLICIT, SERVICE, ACTIVELY MANAGE ADVISORY ACCOUNTS/CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Romonia Bradford Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 11, 2020 - Present

ASSET ALLOCATION STRATEGIES, LLC

Office #1: 3114 Augusta Tech Dr. Suite 105, Augusta, GA 30906

RIA

CRD#: 152339

AUGUSTA, GA

Current

April 29, 2020 - Present

GLP INVESTMENT SERVICES, LLC

Office #1: 3114 Augusta Tech Dr. Suite 105, Augusta, GA 30906

CRD#: 25450

Augusta, GA

Past

January 2, 2019 - April 29, 2020

EQUITY SERVICES, INC.

RIA

CRD#: 265

AUGUSTA, GA

Past

December 18, 2018 - April 29, 2020

EQUITY SERVICES, INC.

CRD#: 265

AUGUSTA, GA

Past

December 2, 2014 - December 31, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

JOHNS CREEK, GA

Past

August 6, 2014 - December 31, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

JOHNS CREEK, GA

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".

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(4/29/2020)

IAR

Georgia
(8/11/2020)

South Carolina
(1/3/2024)

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

State Security Law Exam

Series 63

Date: 6/7/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/15/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/2/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

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Contact information

Main Address

33335 Grand River, Farmington, MI 48336

Mailing Address

Phone number

(248) 489-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET ALLOCATION STRATEGIES, LLC FORM 2A 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,883
AUM (Assets Under Management)	$ 767,431,598

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.

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Romonia B. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Romonia Bradford Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLP INVESTMENT SERVICES, LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

ASSET ALLOCATION STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/2014

Series 65

Date: 3/15/2014

SIE

Date: 12/31/2016

Series 6

Date: 12/2/2014

FINRA

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET ALLOCATION STRATEGIES, LLC

TRUST BUT VERIFY

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