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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-18 |
| MD | RA | APPROVED | 2016-10-24 |
Branch Locations
5018 Dorsey Hall Dr. Suite 204, Ellicott City, MD 21042 • United States
5018 Dorsey Hall Drive Suite 204, Ellicott City, MD 21042 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2017-03-20 |
Branch Locations
5018 Dorsey Hall Drive Suite 204, Ellicott City, MD 21042 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lee Financial Associates | Ellicott City | MD | 01/2016 | Present |
| Osaic Wealth, Inc. | Ellicott City | MD | 06/2016 | Present |
1) Richard William Capital, LLC, No, 900 Shephard Court , Bel Air, MD 21014, Member, 07/31/13, 4, 1, Real Estate Rental Property 2) LEE FINANCIAL ASSOCIATES POSITION: Insurance Agent NATURE: Selling Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/04/2016 ADDRESS: 5018 Dorsey Hall Drive, Suite#204, Ellicott City MD 21042; DESCRIPTION: Selling isurance to meet client needs as far as Death Benefit or Disability needs concern. 3) LEE FINANCIAL ASSOCIATES POSITION: Investment Advisor Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/16/2017 ADDRESS: 5018 Dorsey Hall Drive, Ellicott City MD 21042 DESCRIPTION: Assist SEI clients who are structured under the Independent RIA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-12 |
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