Ronald Steven Lee

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2014 → 01/2017
  Lpl Financial, Llc
  Hot Springs, AR
• 03/2015 → Present
  Cwm, Llc
  Omaha, NE
• 01/2017 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2017 → Present
  Wealth Management, Inc
  Hot Springs, AR

Previous Registrations

• 2007-03-05 → 2014-12-22
  Msi Financial Services, Inc.
  St. Louis, MO
  Hot Springs, AR
  Hot Springs, AR
  St. Louis, MO
  St. Louis, MO

Other Businesses

1.NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH MANAGEMENT GROUP, CARSON GROUP PARTNERS AND CARSON GROUP. INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATIONNATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES, POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE, START DATE: 1/2017, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 3. NAME OF OTHER BUSINESS: WEALTH MANAGEMENT, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2014 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: OUR LADY OF FATIMA CATHOLIC CHURCH; INVESTMENT RELATED: NO; ADDRESS: 900 W CROSS ST, BENTON, AR 72015; NATURE OF BUSINESS: CATHOLIC CHURCH; START DATE: 6/2022; POSITION/TITLE/RELATIONSHIP: ORDAINED DEACON; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: DUTIES AS ASSIGNED BY THE BISHOP & LOCAL PRIEST - USUALLY TEACHING MEMBERS ABOUT CHRIST AND HIS WORD, ASSISTING POOR WITH FOOD DELIVERY &/OR TRANSPORTATION, ASSISTING PRIST AT MASS, READ THE GOSPEL & ASSIST WITH COMMUNION;

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-12-12
• S63 Uniform Securities Agent State Law Examination
  1998-03-23

Other Names

• Ron Lee
• Ronald Steven Lee