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RL

Ronald J. Lee

LEE CAPITAL MANAGEMENT #1 LLC
Long Beach, CA
Some features on this profile are disabled
CRD#: 814314
RL

Professional summary

Ronald James Lee is a registered financial advisor currently at LEE CAPITAL MANAGEMENT #1 LLC located in Long Beach, California.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Ronald has worked at 5 firms and has passed the Series 63, Series 65, Series 3 and Series 7 exams.

top-8-questions

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 Brittenham Design Group Engel & Volkers Real Estate Investment related - Yes 302 Avenue I, Redondo Beach, CA 90277 Redondo Beach, Registered Sales with the State of California Feb, 2019 Number of hours varies Number of hours devoted to the other business during trading hours - negligible Real estate sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald James 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

January 27, 2022 - Present

LEE CAPITAL MANAGEMENT #1 LLC

RIA
CRD#: 315693
Long Beach, CA
Past

October 7, 2002 - January 25, 2020

LEE CAPITAL MANAGEMENT

RIA
CRD#: 129938
PALOS VERDES ESTATES, CA
Past

November 4, 1992 - March 13, 1997

INTREPID SECURITIES, INC.

BD
CRD#: 19311
TORRANCE, CA
Past

September 27, 1982 - April 20, 1990

CROWELL, WEEDON & CO.

BD
CRD#: 193
LOS ANGELES, CA
Past

November 1, 1975 - October 20, 1982

SUTRO & CO. INCORPORATED

BD
CRD#: 801

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
California
(1/27/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/1993
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/5/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/8/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1975
General Securities Representative Examination

Current Firm

LC
LEE CAPITAL MANAGEMENT #1 LLC
BRITTENHAM DESIGN #1 LLC | LEE, RONALD JAMES | LEE CAPITAL MANAGEMENT #1 LLC | LEE CAPITAL MANAGEMENT

CRD#: 315693 / SEC#:

California
Registered Investment Advisory firm - (1/27/2022 Approved)
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Contact information

Main Address
Long Beach, CA
Mailing Address
P.o. Box 153, Redondo Beach, CA 90277
Phone number
(310) 200-0129
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 30,440,000

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

LEE CAPITAL MANAGEMENT #1 LLC

CRD#: 315693Long Beach, CA

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