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Derek Makoto Lee

Topturn Capital, LLC

Clovis, CA

Carmel, CA

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Current Employers
Topturn Capital, Llc

200 Clock Tower Place Suite B208, Carmel, CA 93923 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-02
  • CA RA
    APPROVED
    Since 2026-02-02

Branch Locations

Clovis, CA • United States

200 Clock Tower Place Suite B208, Carmel, CA 93923 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Charlotte NC 10/2013 01/2026
Educational Employee Cu Fresno CA 06/2008 01/2026
Topturn Capital, Llc Monterey CA 01/2026 Present
Previous Registrations
  • 2015-11-04 → 2026-01-23
    Lpl Financial Llc
    Fresno, CA
    San Diego, CA
    Fresno, CA
    Visalia, CA
    Reedley, CA
    Visalia, CA
    Fresno, CA
    Fresno, CA
    Tulare, CA
    Merced, CA
    Madera, CA
    Fresno, CA
    Clovis, CA
    Clovis, CA
    Clovis, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-11-03
S63 Uniform Securities Agent State Law Examination 2013-10-25
  • S65 Uniform Investment Adviser Law Examination
    2015-11-03
  • S63 Uniform Securities Agent State Law Examination
    2013-10-25
Designations

View on SEC IAPD

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