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John Lee

LPL Financial LLC
27 Years of Experience
Fort Worth, TX
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

John Lee is a registered investment advisor at LPL Financial LLC, based in Fort Worth, TX, with 27 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Fort Worth, TX

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2025
Pending
Customer Dispute
June 2022
Settled
Employment Separation After Allegations
August 2021
Employment Separation After Allegations
September 2010
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John has outside W-2 employment at Left Arm Tan since 2016. He also has non-variable insurance and a DBA for his LPL business, Lee Wealth Management Group, LLC, both since 2012.

Employment History
Current Registrations
LPL Financial LLCBroker
August 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
August 2021 - Present · 5 yrs 3 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
June 2012 - August 2021 · 9 yrs 2 mos
Cambridge Investment Research, INC.Broker
June 2012 - August 2021 · 9 yrs 2 mos
MML Investors Services, LLCBroker
September 2010 - June 2012 · 1 yr 9 mos
MML Investors Services, LLC
September 2010 - June 2012 · 1 yr 9 mos
Northwestern Mutual Wealth Management Company
April 2005 - April 2007 · 2 yrs
Northwestern Mutual Investment Services,llc
February 2005 - September 2010 · 5 yrs 7 mos
Northwestern Mutual Investment Services, LLCBroker
August 2003 - September 2010 · 7 yrs 1 mo
Nationwide Securities, INC.Broker
November 2002 - April 2003 · 5 mos
Morgan Stanley Dw INC.Broker
November 2001 - July 2002 · 8 mos
Morgan Stanley
November 2001 - July 2002 · 8 mos
Northwestern Mutual Investment Services, LLCBroker
February 1999 - January 2002 · 2 yrs 11 mos
Robert W. Baird & CO. IncorporatedBroker
February 1999 - September 2001 · 2 yrs 7 mos
State Registrations12 states
COFLGAKSKYLAMIMNNCNMSCTX
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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