Adviser and broker representative · Independent Financial Group, LLC
John K. Lee
CRD 2948622 · Pleasanton, CA
At a glance
John K. Lee is an investment adviser representative with Independent Financial Group, LLC in Pleasanton, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on John’s SEC record dates to 2000, about 25 years ago. John is also registered as a broker representative. Designations on file: Certified Financial Planner, Personal Financial Specialist.
Current advisory firm
- Independent Financial Group, LLCSince October 2005Pleasanton, CA · $13B in regulatory assets
SEC adviser record
- Registered since
- 2000 (25 years)
- Designations
- Certified Financial Planner, Personal Financial Specialist
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
John’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.