Derek Lee has been an investment adviser representative at Topturn Capital since February 2026, and is not listed among the firm’s executive officers or direct owners.
Topturn Capital, LLC is a Carmel, CA firm with $187M under management, 106 clients and 4 advisers in one office, as of its March 2026 filing.
Derek Lee’s longest registration was 10 years at LPL Financial LLC (2015–2026). Before joining Topturn Capital in 2026, Derek Lee was registered through LPL Financial LLC.
- Topturn Capital, LLCCurrent– present · under a yearClovis, CA · Adviser representative · Firm CRD 151464
- LPL Financial LLC– · 10 yearsFresno, CA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Derek Lee is registered as an investment adviser representative in California, since February 2026.
- CaliforniaSince 2 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 17 January 2017 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 November 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 October 2013 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 October 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Derek Makoto Lee
- CRD
- 6062116
- Firm
- Topturn Capital · CRD 151464
- Office
- Clovis, CA
- Registration
- Investment adviser registration
- In the industry since
- October 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Derek Lee work?
Derek Lee is an investment adviser representative registered through Topturn Capital, LLC since February 2026, and is not listed among the firm’s executive officers or direct owners.
Is Derek Lee a financial advisor?
Yes. Derek Lee has a current investment-adviser registration in California, through Topturn Capital since February 2026.
How many years of experience does Derek Lee have?
Derek Lee has 13 years in the financial industry, since October 2013, across 2 adviser firms.
What exams has Derek Lee passed?
Derek Lee has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in October 2013. FINRA credited Derek Lee with the SIE, which began in October 2018.
Where did Derek Lee work before Topturn Capital?
Before Topturn Capital, Derek Lee was registered through LPL Financial LLC, November 2015 to January 2026.
Where is Derek Lee based?
Derek Lee’s registered office is in Clovis, CA.
Is Derek Lee registered with FINRA?
No. Derek Lee has no current broker registration.
How can I verify Derek Lee’s record?
Search CRD 6062116 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Derek Lee’s full registration record.
