Betty Lee is a registered investment advisor, based in Walnut Creek, CA, with 28 years of industry experience.
Location
1600 South Main Street, Suite 315, Walnut Creek, CA, 94596
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Regulatory History (1)
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Customer Dispute
December 2017Denied
Other Business Activities
Betty is a board member of Stapleton School of the Performing Arts, spending minimal time. She is also the president of Northern California WIFS and co-treasurer/board member of Gilead House, dedicating minimal time to each.
Employment History
Current Registrations
Cetera Investment Services LLCBroker
January 2024 - Present · 2 yrs 4 mos
Cetera Investment Advisers LLC
January 2024 - Present · 2 yrs 4 mos
Previous Registrations
Principal Securities, INC.
March 2016 - January 2024 · 7 yrs 10 mos
Principal Securities, INC.Broker
January 2016 - January 2024 · 8 yrs
Unionbanc Investment Services, LLC
December 2004 - January 2016 · 11 yrs 1 mo
Unionbanc Investment Services, LLCBroker
December 2004 - January 2016 · 11 yrs 1 mo
Banc of America Investment Services, INC.
January 2002 - December 2004 · 2 yrs 11 mos
Banc of America Investment Services, INC.Broker
August 2000 - December 2004 · 4 yrs 4 mos
Citicorp Investment ServicesBroker
March 1999 - August 2000 · 1 yr 5 mos
Marketing One Securities, INC.Broker
September 1997 - March 1999 · 1 yr 6 mos
Emmett a Larkin Company, INC.Broker
July 1997 - September 1997 · 2 mos
Metlife Securities INC.Broker
July 1997 - August 1997 · 1 mo
Metropolitan Life Insurance CompanyBroker
July 1997 - August 1997 · 1 mo
Carillon Investments, INC.Broker
April 1997 - July 1997 · 3 mos
State Registrations51 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.