Derek Kenneth Lee

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2020-09-11

MN RA
APPROVED

Since 2020-09-11

Branch Locations

Fergus Falls, MN • 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

Organization	City	State	From	To
Lee Financial	Fergus Falls	MN	01/2020	06/2020
Sysco	Fargo	ND	08/2014	09/2019
Self	Fargo	ND	09/2019	12/2019
Lpl Financial Llc	Ottertail	MN	07/2020	Present

01/2020 → 06/2020

Lee Financial

Fergus Falls, MN
08/2014 → 09/2019

Sysco

Fargo, ND
09/2019 → 12/2019

Self

Fargo, ND
07/2020 → Present

Lpl Financial Llc

Ottertail, MN

Other Businesses

1)7/24/2020- Lee Financial Services, Inc. - Non-Variable Insurance- Agent selling life, health, disability, dental, vision, and fixed annuity - Inv. Related- FERGUS FALLS, MN -80hrs/mth 2)7/24/2020 -Outside/W-2 Employment- Fishing Tournament- Non-Inv. Related - Fargo, ND- -3hrs/mth 3) 11/17/2020 - Lee Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 9/10/2020 - 160 Hour Per Month/8 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-09-09

S66 Uniform Combined State Law Examination

2020-09-09

View on SEC IAPD