Romania Lee is a registered investment advisor, based in Dublin, CA, with 19 years of industry experience.
Location
Dublin, CA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Empower Financial Services, INC.
May 2022 - Present · 4 yrs
Empower Advisory Group, LLC
May 2022 - Present · 4 yrs
Empower Financial Services, INC.Broker
May 2022 - Present · 4 yrs
Previous Registrations
Fidelity Personal and Workplace Advisors
January 2022 - April 2022 · 3 mos
Fidelity Brokerage Services LLCBroker
January 2022 - April 2022 · 3 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
May 2014 - November 2020 · 6 yrs 6 mos
Advice and Planning Services
May 2014 - November 2020 · 6 yrs 6 mos
Charles Schwab & CO., INC.
August 2007 - September 2012 · 5 yrs 1 mo
Charles Schwab & CO., INC.Broker
August 2007 - September 2012 · 5 yrs 1 mo
UBS Financial Services INC.
September 2005 - August 2007 · 1 yr 11 mos
UBS Financial Services INC.Broker
September 2005 - August 2007 · 1 yr 11 mos
American Express Financial Advisors, INC.
April 2004 - July 2005 · 1 yr 3 mos
American Express Financial Advisors INC.Broker
February 2004 - July 2005 · 1 yr 5 mos
Ids Life Insurance CompanyBroker
February 2004 - July 2005 · 1 yr 5 mos
State Registrations6 states
CANCNJNVNYTN
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.