CL
Christopher D. Lee
VEST FINANCIAL LLC
San Francisco, CA
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CRD#: 6643708
CL
Professional summary
Christopher Deryen Lee is a registered financial advisor currently at VEST FINANCIAL LLC located in San Francisco, California and VEST SECURITIES, LLC located in Mclean, Virginia.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Christopher has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Vest Financial LLC, 8350 Broad Street, Suite 240, McLean, VA, 22102; Investment Advisory firm; start date 05/2013; Senior VP of Product Management; Approximately 160 hrs per month; 40 hours/week during security trading hours; Duties: Management of Product Management Team, Specialist representing firm strategies to prospects and clients, Conducting research and generating product-related content to support the firm's offerings; Compensated through salary and bonus tied to overall growth of business. 2) Redplate Capital LLC, 15997 Grandview Ave, Monte Sereno, CA 95030; Investment Related; Start date 01/2013; Co-owner; No time currently spent in business as it is co-owned with a parent who handles the business. The business previously held assets for purely investment purposes for the benefit of the two owners. Some angel investing is done through this entity. No compensation received for participation in the business.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Deryen 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®
NoneExperience
Current
January 11, 2017 - Present
VEST FINANCIAL LLC
RIA
CRD#: 165976
San Francisco, CA
Current
June 30, 2022 - Present
VEST SECURITIES, LLC
Office #1: 8350 Broad Street Suite 240, Mclean, VA 22101BD
CRD#: 317379
Mclean, VA
Past
November 14, 2016 - June 30, 2022
FIRST DOMINION CAPITAL CORP.
BD
CRD#: 16330
RICHMOND, VA
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".
VF
VEST FINANCIAL LLC
CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL
CRD#: 165976 / SEC#: 801-77463
RIA
Registered Investment Advisory firm - (1/3/2013 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.RR
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
RR
California(7/21/2022)
IAR
California(9/11/2024)
IAR
Virginia(1/11/2017)
RR
Virginia(6/30/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VEST FINANCIAL LLC
CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL
CRD#: 165976 / SEC#: 801-77463
RIA
Registered Investment Advisory firm - (1/3/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8350 Broad St Suite 240, Mclean, VA 22102-5150
Mailing Address
Phone number
(855) 979-6060
Established
Firm type
Fiscal year end
# of Employees
43
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 145 |
| AUM (Assets Under Management) | $ 39,304,330,239 |
Red Flags
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