Unclaimed Profile

Richard Rochester Lee

LEE FINANCIAL COMPANY, LLC·DALLAS, Texas

Series 338 years registeredLEE FINANCIAL COMPANY, LLC

8350 N. CENTRAL EXPRESSWAY, DALLAS, TX 75206CRD# 305422Firm CRD# 105910

Profile Verification

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

Identity

Richard Rochester Lee · DALLAS, TX

Registration

CRD #305422 · LEE FINANCIAL COMPANY, LLC · 38 years registered

Brand Profile

Not yet started

Career History

LEE FINANCIAL COMPANY, LLC

Jan 1988 – present

Registrations & Exams

FINRA examinations passed

Series 3

Registration record

First registered · January 15, 1988

Years registered · 38

Disclosure History

2010Customer Dispute·Settled

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

LEE FINANCIAL COMPANY, LLC

CRD 105910 · SEC 801-10722

AUM

$1.3B

Regulatory assets under management

Employees

1,643 client accounts

Services offered by LEE FINANCIAL COMPANY, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at LEE FINANCIAL COMPANY, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Rochester Lee offer?

Richard Rochester Lee specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in DALLAS, Texas for a consultation.

What are Richard Rochester Lee's credentials?

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

Where is Richard Rochester Lee located?

Richard Rochester Lee is based in DALLAS, Texas, working with LEE FINANCIAL COMPANY, LLC. Their office serves clients in the DALLAS metropolitan area and surrounding communities.

How does Richard Rochester Lee charge for services?

Richard Rochester 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 LEE FINANCIAL COMPANY, LLC?

LEE FINANCIAL COMPANY, LLC has approximately 36 employees and manages $1.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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