Steve Lee is a registered investment advisor, based in Pasadena, CA, with 16 years of industry experience.
Location
135 N Los Robles Avenue, Pasadena, CA, 91101
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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
Cetera Investment Advisers LLC
June 2024 - Present · 2 yrs 1 mo
Cetera Investment Services LLCBroker
June 2024 - Present · 2 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.Broker
June 2022 - June 2024 · 2 yrs
Citigroup Global Markets INC.
June 2022 - June 2024 · 2 yrs
J.P. Morgan Securities LLC
September 2021 - May 2022 · 8 mos
J.P. Morgan Securities LLCBroker
September 2021 - May 2022 · 8 mos
U.S. Bancorp Investments, INC.
February 2019 - September 2021 · 2 yrs 7 mos
U.S. Bancorp Investments, INC.Broker
February 2019 - September 2021 · 2 yrs 7 mos
U.S. Bancorp Investments, INC.
September 2017 - December 2018 · 1 yr 3 mos
U.S. Bancorp Investments, INC.Broker
September 2017 - December 2018 · 1 yr 3 mos
Bancwest Investment Services, INC.Broker
May 2013 - August 2017 · 4 yrs 3 mos
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
May 2013 - August 2017 · 4 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2012 - March 2013 · 1 yr 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2012 - March 2013 · 1 yr 1 mo
Unionbanc Investment Services, LLC
December 2009 - January 2012 · 2 yrs 1 mo
Unionbanc Investment Services, LLCBroker
December 2009 - January 2012 · 2 yrs 1 mo
Unionbanc Investment Services, LLC
July 2009 - August 2009 · 1 mo
Unionbanc Investment Services, LLCBroker
July 2008 - August 2009 · 1 yr 1 mo
State Registrations5 states
CANVNYTXWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.