DL
DL
David Lee
30 Years of Experience
New York, NY
3 DisclosuresBroker
David Lee is a registered investment advisor at Cetera Investment Advisers LLC, based in New York, NY, with 30 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
535 Madison Ave 8th Floor, New York, NY, 10022
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2018Denied
Customer Dispute
July 2017Denied
Customer Dispute
November 2009Settled
Other Business Activities
David is a loan originator for residential mortgages for East West Bank. While no existing clients are currently involved, security clients could be involved in the future.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2014 - Present · 12 yrs 4 mos
Cetera Investment Services LLCBroker
October 2006 - Present · 19 yrs 7 mos
Previous Registrations
Cetera Investment Services LLC
October 2006 - January 2014 · 7 yrs 3 mos
Uvest Financial Services Group, INC.
January 2005 - October 2006 · 1 yr 9 mos
Uvest Financial Services Group, INC.Broker
January 2005 - October 2006 · 1 yr 9 mos
Pruco Securities, LLC.Broker
March 2004 - January 2005 · 10 mos
Hsbc Brokerage (USA) INC.Broker
March 1996 - January 2004 · 7 yrs 10 mos
Metlife Securities INC.Broker
February 1995 - March 1996 · 1 yr 1 mo
Metropolitan Life Insurance CompanyBroker
February 1995 - March 1996 · 1 yr 1 mo
State Registrations13 states
CACTDEFLGAILMAMDNJNVNYTXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.