WL
Wei X. Lee
UNITED ASSET STRATEGIES
Garden City, NY 11530
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CRD#: 7405088
WL
Professional summary
Wei Xi Lee is a registered financial advisor currently at UNITED ASSET STRATEGIES INC. located in Garden City, New York.
Wei is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Wei has worked at 1 firm .
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.
CRS (Client Relationship Summary) - RIA
Click below to view Wei Xi 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
July 27, 2021 - Present
UNITED ASSET STRATEGIES INC.
Office #1: 377 Oak Street Suite 403, Garden City, NY 11530RIA
CRD#: 107434
Garden City, NY
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".
UA
UNITED ASSET STRATEGIES INC.
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
RIA
Registered Investment Advisory firm - (6/9/1992 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.Highlighted states indicate IAR registrations
IAR
New York(7/27/2021)
Exams
Current Firm
UA
UNITED ASSET STRATEGIES INC.
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
RIA
Registered Investment Advisory firm - (6/9/1992 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
377 Oak Street Suite 403, Garden City, NY 11530
Mailing Address
Phone number
(516) 222-0021
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,029 |
| AUM (Assets Under Management) | $ 1,844,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/13/2025 | ||
| 01/27/2025 | ||
| 09/04/2024 | ||
| 12/20/2023 | ||
| 01/23/2023 | ||
| 05/02/2022 |
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.
