Kenneth K. 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:

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

Current Employers

Employment History

• 08/2009 → 05/2021
  Compass Bank
  Birmingham, AL
• 08/2012 → 05/2021
  Bbva Wealth Solutions Inc.
  Fremont, CA
• 05/2013 → 05/2021
  Bbva Securities Inc.
  Fremont, CA
• 02/2010 → 05/2021
  Bbva Compass Insurance Agency, Inc.
  Austin, TX
• 06/2021 → Present
  Fremont Bank
  Fremont, CA
• 06/2021 → Present
  Lpl Financial Llc
  Fremont, CA

Previous Registrations

• 2012-08-22 → 2021-06-01
  Pnc Managed Account Solutions, Inc.
  Fremont, CA

Other Businesses

1) 6/2021- FB Investment Services- DBA for LPL Business (entity for LPL business)- inv. Related- Fremont, CA 2) 6/2021- Real Estate Rental- property co-owner- Inv. Related- Union City, CA- start date 4/1/2013- 1hr/mth 3) 1/25/2022 - Leemann LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date: 1/1/2022 - 1 Hours Per Month/0 Hours During Securities Trading - Rental property management.

Exams

• S66 Uniform Combined State Law Examination
  2012-08-17
• S63 Uniform Securities Agent State Law Examination
  2008-09-09

Other Names

• Kenneth K Lee