Unclaimed Profile

Veronica Diane Lee

NFP RETIREMENT INC.·ALISO VIEJO, California

SIE, Series 6, Series 63, Series 65Clean record20 years registeredNFP RETIREMENT INC.

120 VANTIS, ALISO VIEJO, CA 92656CRD# 3108984Firm CRD# 121254

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Veronica Diane Lee · ALISO VIEJO, CA

Registration

CRD #3108984 · NFP RETIREMENT INC. · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NFP RETIREMENT INC.

FLEXPATH STRATEGIES

Jul 2023 – Sep 2024

ALISO VIEJO, CA

NFP RETIREMENT INC.

Oct 2005 – Jul 2023

ALISO VIEJO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 63

Series 65

Registration record

First registered · October 25, 2005

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NFP RETIREMENT INC.

CRD 121254 · SEC 801-66107

AUM

$96.5B

Regulatory assets under management

Employees

219

5,514 client accounts

Services offered by NFP RETIREMENT INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at NFP RETIREMENT INC. →

Introduction

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Frequently Asked Questions

What services does Veronica Diane Lee offer?

Veronica Diane Lee specializes in Financial Planning, Investment Management.

What are Veronica Diane Lee's credentials?

Veronica Diane Lee is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Veronica Diane Lee located?

Veronica Diane Lee is based in ALISO VIEJO, California, last registered with NFP RETIREMENT INC..

How does Veronica Diane Lee charge for services?

Veronica Diane Lee's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NFP RETIREMENT INC.?

NFP RETIREMENT INC. has approximately 219 employees and manages $96.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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