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SL

Samuel D. Lee

SIGNATURE RESOURCES CAPITAL MANAGEMENT
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 7829001
SL

Professional summary

Samuel David Lee, who also goes by Sam Lee, Samuel Lee, is a registered financial advisor currently at SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC located in Newport Beach, California and ONEAMERICA SECURITIES, INC. located in Newport Beach, California.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Samuel has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sam Lee | Samuel 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 Samuel David 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

March 25, 2026 - Present

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

Office #1: 100 Bayview Circle Suite 2200, Newport Beach, CA 92660
RIA
CRD#: 144069
NEWPORT BEACH, CA
Current

May 14, 2026 - Present

ONEAMERICA SECURITIES, INC.

Office #1: 100 Bayview Circle Suite 2200, Newport Beach, CA 92660
RIA
BD
CRD#: 4173
Newport Beach, CA
Past

July 16, 2025 - November 4, 2025

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Costa Mesa, CA

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".
SR
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
EDGE WEALTH STRATEGIES LLC | STATERA ASSET MANAGEMENT | SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069 / SEC#: 801-67988

RIA
Registered Investment Advisory firm - (6/8/2007 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

IAR
California
(3/25/2026)
RR
California
(5/14/2026)
IAR
Texas
(3/25/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/15/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SR
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
EDGE WEALTH STRATEGIES LLC | STATERA ASSET MANAGEMENT | SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069 / SEC#: 801-67988

RIA
Registered Investment Advisory firm - (6/8/2007 Approved)
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Contact information

Main Address
100 Bayview Circle Suite 2200, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 261-7726
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025-03-25 SIGNATURE RESOURCES CAPITAL MANAGEMENT FORM ADV PART 2A (3/28/2025)
2025-03-25 SIGNATURE RESOURCES CAPITAL MANAGEMENT FORM ADV PART 2A (STATERA ASSET MANAGEMENT) (3/28/2025)

Regulatory assets under management

Total Number of Accounts807
AUM (Assets Under Management)$ 227,563,327

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.

Company Information

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069Newport Beach, CA 92660

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