Alfred K. Lee

ANGEL OAK CAPITAL ADVISORS

ATLANTA, GA 30328

CRD#: 6509449

Some features on this profile are disabled

Professional summary

Alfred Kithong Lee, who also goes by Alfred Lee, is a registered financial advisor currently at ANGEL OAK CAPITAL ADVISORS, LLC located in Atlanta, Georgia and FORESIDE FUND SERVICES, LLC located in Atlanta, Georgia.

Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Alfred has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alfred Lee

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) - RIA

Click below to view Alfred Kithong Lee's 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

April 25, 2022 - Present

ANGEL OAK CAPITAL ADVISORS, LLC

Office #1: 980 Hammond Drive Suite 200, Atlanta, GA 30328

RIA

CRD#: 151090

ATLANTA, GA

Current

February 7, 2022 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 980 Hammond Drive Ste 200, Atlanta, GA 30328

CRD#: 46106

Atlanta, GA

Past

July 31, 2019 - January 6, 2022

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

ATLANTA, GA

Past

March 18, 2019 - January 6, 2022

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

Atlanta, GA

Past

July 9, 2015 - September 11, 2018

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, 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".

ANGEL OAK CAPITAL ADVISORS, LLC

CRD#: 151090 / SEC#: 801-70670

RIA

Registered Investment Advisory firm - (10/14/2009 Approved)

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
(2/7/2022)

IAR

Georgia
(4/25/2022)

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

IAR

Series 65

Date: 7/31/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ANGEL OAK CAPITAL ADVISORS, LLC

CRD#: 151090 / SEC#: 801-70670

RIA

Registered Investment Advisory firm - (10/14/2009 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

980 Hammond Drive Suite 200, Atlanta, GA 30328

Mailing Address

Phone number

(404) 953-4900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AOCA PART 2A - FEBRUARY 2026 (2/19/2026)

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 10,214,689,935

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

George Mauser

ATLAS INVESTMENT ADVISORS

IAR

ALPHARETTA, GA

Dena Wilhoit

STATE FARM INVESTMENT MANAGEMENT CORP.

IAR

GRAYSON, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alfred K. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Kithong Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

ANGEL OAK CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2019

Series 63

Date: 7/23/2015

SIE

Date: 9/11/2018

Series 7

Date: 7/9/2015

Series 24

Date: 3/10/2023

FINRA

Current Firm

ANGEL OAK CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANGEL OAK CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors