Important Disclosures 2021-09-07T14:22:54+00:00

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Serving Families for Over 40 Years

Important Disclosure Information

Lee Financial Company (“Company”) is an SEC registered investment adviser located in Dallas, Texas.    Company may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements.  Company’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links.  Accordingly, the publication of Company’s web site on the Internet should not be construed by any consumer and/or prospective client as Company’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.  Any subsequent, direct communication by Company with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  For information pertaining to the registration status of Company, please contact the SEC or the state securities regulators for those states in which Company maintains a notice filing.  A copy of Company’s current written disclosure statement discussing Company’s business operations, services, and fees is available from Company upon written request.  Company does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Company web site or incorporated herein, and takes no responsibility therefore.  All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Company), will be profitable or equal any historical performance level(s).

Certain portions of Company’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Company (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date.  Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s).  Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Company, or from any other investment professional.  Company is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.

Please Note/Limitations: Neither rankings and/or recognition by unaffiliated rating services, publications, media, or other organizations, nor the achievement of any designation or certification, should be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Lee Financial Company is engaged, or continues to be engaged, to provide investment advisory services. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers (see link as to participation data, to the extent applicable). No ranking or recognition should be construed as a current or past endorsement of Lee Financial Company by any of its clients.  ANY QUESTIONS: Lee Financial Company’s Chief Compliance Officer remains available to address any questions regarding rankings and/or recognitions, including providing the criteria used for any reflected ranking.

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to Company’s web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from Company, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to Company’s web site, to release and hold harmless Company, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from Company.

Web Site/Portal Access Acknowledgement

As a client of Lee Financial Company (“Company”), by selecting the “I Agree” button, I elect to participate in the password-protected access portion of Company Internet web site.  I understand that my participation will allow me to review certain investment-related information published by Company and unaffiliated third parties.  This password-protected access is made available to clients of Company free of charge.  This authorization shall continue until canceled in writing.

I understand that the password-protected section is a secure web site intended only to allow a client access to information relative to his/her/its specific account.  I also understand that I will be assigned an individual password.  I agree not to share my password with any other person.  I hereby release and hold Company harmless from any adverse consequences relative to any failure by me to keep the identity of my password secure.

Date:  _______________                        ________________________

Client’s E-mail Address: ___________________________________

eMoney

Clients may have the ability to “link” accounts to eMoney for which Lee Financial has no trading authority over, e.g. bank accounts, credit cards, and other brokerage accounts (Excluded Assets).  The client and/or his/her/its other advisors that maintain trading authority on those accounts, and not Lee Financial, shall be exclusively responsible for the investment performance of the Excluded Assets in eMoney.  In addition, eMoney also provides clients access to other types of information, including financial planning concepts, which should not, in any manner, be construed as services, advice or recommendations provided by Lee Financial.  Lee Financial does not provide investment management, monitoring or implementation services for the Excluded Assets.  The client may engage Lee Financial  to provide investment management services for the Excluded Assets pursuant to the terms and conditions of the Investment Advisory Agreement between Lee Financial and the Client.

Definitions

  • Certified Financial Planner (CFP)
    • Holders of the CFP® certification have completed extensive training, testing, at least three (3) years of experience requirements, and are held to rigorous ethical standards. They understand the complexities of the changing financial climate and make recommendations in our client’s best interest, always putting theirs ahead of our own. All CFP® professionals must abide by the Code of Ethics and Standards of Conduct as outlined by the CFP Board. More information on the CFP® certification and the professionals who hold it can be found at https://www.cfp.net/.
  • Chartered Financial Analyst (CFA)
    • The Chartered Financial Analyst (CFA) is a globally respected investment credential established in 1962 and offered by the CFA Institute — the largest global association of investment professionals. Holders of this credential have passed a series of tests. The CFA Institute members commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.
    • The CFA Institute Code of Ethics and Standards of Professional Conduct, enforced through an active professional conduct program, require CFA members and charter holders to:
      • Place their clients’ interests ahead of their own;
      • Maintain independence and objectivity, and act with integrity;
      • Maintain and improve their professional competence; and
      • Disclose conflicts of interest and legal matters.
    • The CFA Program curriculum provides a comprehensive framework of knowledge for investment decision making and is firmly grounded in the knowledge and skills used every day in the investment profession. The program covers a wide range of fundamental and advanced investment topics including ethical and professional standards, fixed-income and equity analysis, alternative and derivative investments, economics, financial reporting standards, portfolio management, and wealth planning. More information on the CFA designation and CFA Institute can be found at http://www.cfainstitute.org.
  • Certified Public Accountant (CPA)
    • Holders of the Certified Public Accountant (CPA) designation are individuals who have passed the uniform CPA examination administered by the American Institute Of Certified Public Accountants, and who have received state certification to practice accounting. To achieve this designation, individuals usually complete five (5) years of education, and a certain degree of work experience. Additionally, once an individual becomes a CPA, they typically must complete a certain number of hours of continuing education each year. More information on the CPA designation and American Institute of Certified Public Accountants (AICPA) can be found at http://www.aicpa.org.
  • Chartered Alternative Investment Analyst (CAIA)
    • Holders of the Chartered Alternative Investment Analyst (CAIA) designation are individuals who have passed two levels of the uniform CAIA examination administered by the Chartered Alternative Investment Analyst Association. To achieve this designation, individuals usually complete a bachelor’s or equivalent degree and more than one year of business experience in the financial industry, or four years of experience in the financial industry. Additionally, once an individual becomes a CAIA, they typically must complete a self-evaluation tool every three years.
    • CAIA® is the globally recognized credential for professionals managing, analyzing, distributing, or regulating alternative investments. More information on the CAIA designation and the Chartered Alternative Investment Analyst (CAIA) can be found at http://www.caia.org.