Damon G. Lee

W.A. SMITH FINANCIAL GROUP

Sarasota, FL 34236-5999

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CRD#: 7293506

Professional summary

Damon Gregory Lee is a registered financial advisor currently at W.A. SMITH FINANCIAL GROUP located in Sarasota, Florida.

Damon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Damon has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Damon Gregory 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

April 22, 2025 - Present

W.A. SMITH FINANCIAL GROUP

Office #1: 1819 Main Street Suite 1100, Sarasota, FL 34236-5999

RIA

CRD#: 146608

Sarasota, FL

Past

December 18, 2024 - March 31, 2025

MSEC, LLC

CRD#: 154327

Sarasota, FL

Past

December 16, 2024 - March 31, 2025

MARINER WEALTH

RIA

CRD#: 140195

Sarasota, FL

Past

September 16, 2024 - December 3, 2024

OSAIC FA, INC.

RIA

CRD#: 3978

SARASOTA, FL

Past

March 19, 2024 - December 3, 2024

OSAIC FA, INC.

CRD#: 3978

SARASOTA, FL

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".

W.A. SMITH FINANCIAL GROUP

8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.

CRD#: 146608 / SEC#: 801-110042

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Ohio

Registered Investment Advisory firm - (5/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2017 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.

Highlighted states indicate IAR registrations

IAR

Florida
(4/22/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/3/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/19/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/15/2023

Securities Industry Essentials Examination

Current Firm

W.A. SMITH FINANCIAL GROUP

8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.

CRD#: 146608 / SEC#: 801-110042

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Ohio

Registered Investment Advisory firm - (5/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2017 Terminated)

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Contact information

Main Address

4604 Timber Commons Drive, Sandusky, OH 44870

Mailing Address

Phone number

(419) 626-8600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT LAKES RETIREMENT FORM ADV 2 BROCHURE JAN 2024 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,582
AUM (Assets Under Management)	$ 962,640,394

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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Firm Stability Insights

Damon G. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Damon Gregory Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

MSEC, LLC

MARINER WEALTH

OSAIC FA, INC.

OSAIC FA, INC.

Primary Firm SEC Registration

W.A. SMITH FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2024

Series 7TO

Date: 3/19/2024

SIE

Date: 9/15/2023

Current Firm

W.A. SMITH FINANCIAL GROUP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

W.A. SMITH FINANCIAL GROUP

TRUST BUT VERIFY

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