Robert Lee
Robert Lee is a CFP-designated registered investment advisor at Nations Financial Group, INC., based in Dubuque, IA, with 33 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 5,401 clients with $3.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Nations Financial Group (NFGI) offers investment management services where fees are calculated as a percentage of the assets managed. These fees can vary depending on the specific advisor, client location, the types of investments, and the size of the account.
For individual portfolio management, pension consulting, and third-party manager programs, fees can be as high as 2.25% for discretionary and non-discretionary accounts. For all-inclusive wrap accounts, where transaction costs are included, fees can be up to 2.50%. For NFGI's 401k portfolios, fees range from 0.10% to 0.30%. NFGI Portfolios may have fees range up to a maximum of 1.50%.
Location
40 Main St., Suite 103, Dubuque, IA, 52001
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Robert is the president/broker of Exclusive Real Estate, Ltd., a real estate brokerage firm, and spends about 10-20% of his time on this. He also works as an insurance agent selling life insurance, dedicating a few hours per week, and is the president of Emmett Financial Services Inc., an accounting and tax services firm, taking nearly full-time hours. Robert is also an attorney and an employee at Core Investments Group.
Employment History
Current Registrations
Nations Financial Group, INC.
Nations Financial Group, INC.Broker
Previous Registrations
B. Riley Wealth ManagementBroker
B Riley Wealth Management
Vsr Financial Services, INC.Broker
Vsr Advisory Services
Berthel Fisher & Company Financial Services, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
The O.N. Equity Sales CompanyBroker
The Investment Center, INC.Broker
The Investment Center, INC.Broker
Geneva Securities,inc.Broker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.