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Andrew Lee
27 Years of Experience
Beverly Hills, CA
2 DisclosuresBroker
Andrew Lee is a registered investment advisor at Raymond James & Associates, INC., based in Beverly Hills, CA, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
9595 Wilshire Blvd., SUITE 801 and 200, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (2)
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
February 2020Settled
Employment Separation After Allegations
November 2019Employment History
Current Registrations
Raymond James & Associates, INC.Broker
April 2023 - Present · 3 yrs 1 mo
Raymond James & Associates, INC.
April 2023 - Present · 3 yrs 1 mo
Previous Registrations
Wedbush Securities INC.Broker
December 2019 - May 2023 · 3 yrs 5 mos
Wedbush Securities INC.
December 2019 - May 2023 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2010 - December 2019 · 9 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2010 - December 2019 · 9 yrs 6 mos
American Express Financial Advisors, INC.
December 1997 - May 2004 · 6 yrs 5 mos
American Express Service CorporationBroker
June 1994 - December 1994 · 6 mos
American Express Financial Advisors INC.Broker
November 1992 - May 2004 · 11 yrs 6 mos
Ids Life Insurance CompanyBroker
November 1992 - May 2004 · 11 yrs 6 mos
State Registrations19 states
AZCACODEFLHIMDNMNVNYOHORSCTNTXUTVAWAWV
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.