Steven T. Lees

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CRD#: 6446914

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.

Steven T. Lees was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2015. Steven had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

September 16, 2015 - April 17, 2024

MOONDANCE INVESTMENT ADVISORS, LLC

RIA

CRD#: 166171

ELIZABETHTOWN, PA

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

MOONDANCE INVESTMENT ADVISORS, LLC

KODI ENTERPRISES, LLC | MOONDANCE INVESTMENT ADVISORS, LLC | MOON DANCE INVESTMENT ADVISORS | MOON DANCE

CRD#: 166171 / SEC#: 801-77375

RIA

Registered Investment Advisory firm - (6/6/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/29/2013 Approved)

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).

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Contact information

Main Address

247 N. Main Street, New Hope, PA 18938

Mailing Address

Phone number

(215) 862-2282

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	97
AUM (Assets Under Management)	$ 32,246,922

Red Flags

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