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DAVID ROBERT LEE
DAVID ROBERT LEE JR
CRD#: 1468016
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 12544 HIGH BLUFF DRIVE
SUITE 190
SAN DIEGO, CA 92130
Registration History
199019952000200520102015202020252 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - Present (13 years)BMORGAN STANLEY DW INC. (CRD# 7556)1990 - 2006 (16 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1989 (<1 year)BGAF FINANCIAL AND INSURANCE SE... (CRD# 14123)1987 - 1988 (<1 year)BPAMCO SECURITIES AND INSURANCE... (CRD# 11028)1987 - 1987 (<1 year)BJOHN HANCOCK DISTRIBUTORS, INC. (CRD# 468)1986 - 1987 (1 year)IAMORGAN STANLEY (CRD# 7556)1997 - 2006 (9 years)
License(s)

State Registrations

B
Alaska 1/28/2014

B
New Mexico 2/3/2012

B
Arizona 2/3/2012

B
New York 2/3/2012

B
California 2/3/2012

B
Ohio 2/3/2012

IA
California 2/3/2012

B
Oregon 1/31/2022

B
Florida 2/3/2012

B
Pennsylvania 2/3/2012

B
Idaho 8/24/2021

B
Tennessee 3/1/2021

B
Illinois 1/27/2016

B
Texas 11/10/2020

B
Maryland 12/8/2023

IA
Texas 11/11/2020

B
Michigan 1/4/2024

B
Virginia 11/15/2021

B
Nevada 1/25/2022

B
Washington 8/8/2014

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
12544 HIGH BLUFF DRIVE SUITE 190, SAN DIEGO, CA 92130
Registered with this firm since 2/3/2012

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
12544 HIGH BLUFF DRIVE SUITE 190, SAN DIEGO, CA 92130
Registered with this firm since 2/3/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/01/2008 - 02/06/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
B
01/01/2008 - 02/06/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
B
12/01/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN DIEGO, CA
IA
12/01/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN DIEGO, CA
IA
07/08/1997 - 12/06/2006 MORGAN STANLEY (CRD#:7556) LA MESA, CA
B
02/20/1990 - 12/06/2006 MORGAN STANLEY DW INC. (CRD#:7556) LA MESA, CA
B
11/07/1988 - 10/17/1989 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
07/23/1987 - 01/01/1988 GAF FINANCIAL AND INSURANCE SERVICES (CRD#:14123)
B
07/16/1987 - 12/22/1987 PAMCO SECURITIES AND INSURANCE SERVICES (CRD#:11028)
B
05/29/1986 - 08/22/1987 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.